Sales Management

Wai Wa Tsui

Independent Currency Trader at Cross FX Trading Limited

********@*****.***

Summary

- Extensive hands-on experience from front, middle to back office in interacting with sales, trading, banking,

operational and credit & compliance as well as external parties such as Agent Banks, Transfer Agents,

custodian banks, Exchanges and regulatory bodies.

- 6 years progressive experience in multi-regional operation support for equity and fixed income, servicing

global clients; project management and consulting aimed to improve productivity by eliminating significant

shortfalls in the trade enrichment processes; improve confirmation timeliness, validation and exception

management.

- 3 years in ECM Syndicate and Syndicate Operation, successfully executed over 100 deal transactions between

2005 and 2009, transaction types include Equity / ADR / GDR IPO; Duel Listing; Concurrent Offering; Follow

on; Top Up Placement / Blocks etc, strong coordination, multitasking and communication skills developed

- Tri-lingual (English, Cantonese and Mandarin), bi-cultural

- Proficient in Reuters, Bloomberg, Dealogic, ALERT, Omgeo OASYS, Fidessa, Microsoft Office, Excel

Spreadsheet

Experience

Independent Currency Trader at Cross FX Trading Limited

March 2009 - Present (3 years 10 months)

- Family-established firm specializing on trading foreign currency. Handle $100,000+ monthly in trades and

investment, specializing in EUR, GBP, AUD, JPY and CAD transactions

- Use technical analysis to identify major level of support or resistance as well as forecast movements and

place effective stop orders

- Maintain constant research and study macro economic trends to determine what factors are leading the

current market trend

- Identify and initiate short-term entry points (20 / 25 pips) based on real-time news service and technical

trend lines, liquidity and market sentiment etc

- Risk management of each trade position and make decisions on level of leverage / margin

Senior Associate, ECM Syndicate at Credit Lyonnais Securities (Asia) Limited

September 2007 - February 2009 (1 year 6 months)

- Managed the bookbuilding process, translating orders from investors into a book of demand that identified

price sensitivity to ensure a successful placement and after-market trading

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- Involved in the marketing process from sales / syndicate / analyst briefings, investor education, roadshow,

settlement, fund transfer to book close to book close

- Worked closely with bankers on developing sales points to communicate the essential message to

salespeople and investors

- Assisted bankers on the compilation of pitch books and business proposals

Senior Manager, ECM Syndicate Operations at Morgan Stanley

February 2005 - August 2007 (2 years 7 months)

- Managed the overall team function; primary responsibilities were to engage in the lifecycle of a new issue

from an operational standpoint and resolve any logistic issues within Asia Pacific Region (ex Japan)

- Key liaison for all settlement / operation issues between Operations, Global Capital Market, Investment

Banking, Legal Counsel, Syndicate members, Agent Banks, Transfer Agents, Share Registrars, Exchanges

and regulatory bodies from deal structuring, new client account opening, setting up stock codes, trade

confirmation, funding requirement, wire processing to settlement and deal close

- Maintained deal pipeline and revenue reporting system and assisted Finance with P&L calculations

- Worked with the STP project team and other relevant departments to provide recommendations and conduct

user acceptance testing from a business user perspective on the possibilities of consolidating orders and

allocations via new system processes

- Successfully executed over 80 deal transactions with consistent high settlement rate (over 50% of deal

transaction achieved 100% settlement rate), transaction types included IPO, duel Listing, placement,

follow-on and equity-linked Products (convertible and exchangeable bonds)

Contractor / Client Relationship Manager, Securities Operations at UBS Investment Bank

February 2004 - February 2005 (1 year 1 month)

- Acted as the middle office’s primary point of contact for traders, technology, financial control and clients

regarding any operational issues and provided client consultation to ensure the quality service standards of

operational performance

- Provided operational support to the equity, ADR /GDR and program trading desks within Asia Pacific

including Japan regarding opening new client account, trade booking, trade exceptions management,

confirmation and settlement issues

- Ensured compliance with operational procedures and regulatory controls were adhered to

- Performed competitive analysis for Senior Management reporting, proactively identified business drivers

and solutions to reduce overall operational processing costs, improved service standards and efficiency for

global equity operations

- Conducted regular client visits and reviews to fulfill their operational & reporting requirements

Contractor / Management Consultant at PricewaterhouseCoopers Management Consulting

January 2000 - March 2001 (1 year 3 months)

- Identified the business process, change management and transition issues during the rollout of new IT

systems for a major European Investment bank in Hong Kong

- Re-engineered the business process of the financial institution with the largest mutual fund market share in

Taiwan

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- Acted as a key consultant for a retail bank back office project aiming towards centralization of the Asia

Pacific back office operations into one single hub in Singapore for cost efficiencies

Sales Support, Fixed Income Operations at Goldman Sachs (Asia) LLC

September 1997 - February 1999 (1 year 6 months)

- Supported Fixed Income Sales and Traders on all trades processing, confirmation, break identification,

repair activity, and settlements for various products such as US/ Euro / Agency Bonds, Corporate Bonds,

Commercial Papers, Mortgage Backed securities, Repo / Rev Repo within the Asia Pacific Region

- Worked closely with credit and compliance departments for KYC, documentations for account opening and

third party payment issues

- Followed up with trade failures, interest and tax claims, claims with failed trades, coupon payments, and

processing of Corporate Actions

- Ensured smooth settlement via different clearing facilities: Euroclear, Clearstream, Fed Wire, CHIPS,

SWIFT, Domestic, physical, and DTC etc

Contractor / Settlement Analyst, Equities at Salomon Brothers (HK) Ltd

October 1995 - August 1997 (1 year 11 months)

- Arranged delivery and provided settlement (DVP / FOP etc) for equity or equity-linked products, acted as

the chief liaison between regional offices and sales team regarding trade settlement issues

- Daily trade/position/cash reconciliation between counterparties, trading desks and accounting system to

ensure no discrepancies and breaks

- Reviewed fail reports, initiated buy-in and helped prepare daily risk management reports

Languages

English (Native or bilingual proficiency)

Mandarin (Native or bilingual proficiency)

Cantonese (Native or bilingual proficiency)

Skills & Expertise

Capital Markets

Equities

Fixed Income

Trading

Hedge Funds

Investment Banking

Financial Markets

Asset Managment

International Settlements

Confirmation

Settlement

Middle Office

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Back Office

Corporate Actions

Syndicate

Roadshows

FX trading

New Account Opening

Bank Reconciliation

Order Capture

IPO

Clearing

DTC

Euroclear

Clearstream

Bloomberg

Omgeo Oasys

Fedwire

SWIFT payments

Education

University of New South Wales, Australia

Master of Commerce, Finance and Financial Management Services, 1999 - 2000

Chinese University of Hong Kong

Bachelor of Business Administration, with Honors, Accounting and Finance, 1992 - 1996

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Wai Wa Tsui

Independent Currency Trader at Cross FX Trading Limited

********@*****.***

Contact Wai Wa on LinkedIn

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