Manager Project Management

ChoiYi Angela WU

Email: ******.****@*****.***

Tel: 973-***-****

INVESTMENT BANKING PROFESSIONAL

Syndicate Operations \ Securities Processing \ Project Management \ Operations Risk

Core Competencies

● Syndication Operations Management for US, Euro, and Asia Markets

●Operations Risk Management ● Project Management ● Report Documentation

● Strategic Business Solutions ● Middle Office Management ● Trade Settlement Process

● Security Clearance ● Asset Servicing ● End-to-End Process Administration ● Funds Transfers

● Depository Alignments ● Client Relationship Building/Service

●Staff Supervision/Training/Development ●ISDA Review

● Fluent in Cantonese, Mandarin

Financial Products

Equities / Corporate Bonds Syndicate (IPO & Secondary offering) ; Equities / Fix Income Products settlement ; Equity Structure products.

Markets coverage : US DTC settlement; Euro Bonds – Euroclear / Clearstream settlement; Asia markets including Australia, Japan, Hong Kong, Singapore, Malaysia, Thailand, Indonesia, Philippines, Taiwan, Korea, Vietnam, India, China

PROFESSIONAL EXPERIENCE

Huatai Financial Holdings (Hong Kong) Limited (Brokerage Firm)

Executive Director, Operations Sep 2014 - Dec 2016

Responsibility & Achievements

Assist the COO to set up an operations team to support the newly develop investment bank business, including : set up the Settlement Procedure for different markets and products, back office system testing and development; appoint local brokers and custodian banks for the Asia Markets. Negotiated with them on the brokerage and custody fees to a competitive level.

Project management on new business, new products and new work flow

Look after and manage the day to day Operations Risk

Running a team with 8 subordinates on the daily routine operation of middle office and operations function.

Development on the workflow of the team from client on-boarding, trade brooking, settlement, cash monitoring and asset servicing for various flow & exotic trading desk in APAC, cash equities, cash fix income and derivatives products.

Review the fees & services standard provided by the custodian bank and the local broker quarterly and set up target improvement expectation

Monitoring the cash flow for each market, with local brokers and custodian banks in various countries, look after the corporate action, stock borrowing and lending arrangement; IPO in Asia, and US Market settlement.

Liaison with various department, such as IT, Finance, trading desk etc to set up the contingency procedure

Manage the syndicates process in various markets, including HK, China, Singapore, Euro Market, and US Market.

Citigroup Global Markets Asia Ltd – Brokerage arm of Citibank N.A.

Vice President - Operations, AP Intl Ops February 2001- Sep 2014

Responsibility

Syndicates Operations :-

Leading an AVP to work together on all the AP Syndicates side by side with ECM & DCM. Managed a high volume and numerous aspect of diverse equity, hig-yield, corporate and asset-backed syndication and underwriting transactions.

Reviewed preliminary prospectuses and registration statements, prepared CUSIP applications and corresponded with trustees, transfer agents, Depository Trust Corporation (DTC) and legal on registration and securities-transfers issues. Provide comments to the legal council to draft documents, prospectus, with regard to structural issues, the closing mechanics to establish any particular procedures / problems unique to the country of issue in Operations view.

Review deal documents (U/W Agreement, Receiving Bank Agreement, Agreement Among Managers, Prospectus, Stock Lending Agreements, etc) on an ongoing basis, identity potential operations problems and risk.

Negotiated with the Banks, Depository, Register for special arrangement of services and fees.

Liaise with Legal, IB, ECM, Front Desks, Middle Offices and Treasury, regulatory parties, Stock Exchange as appropriate, to structure settlement process for the IPO / Block Trades.

Represent Ops to coordinate with Syndicate Members, Registrars, Receiving Banks, Printers etc for IPO deals and play a leading role among external and internal parties when acting as the settlement agent of the deal.

Monitor the cash flow and Registration Capital issue during the processing of the Syndicate deals, and the day to day Operations Risk

Reconciled syndicate positions with Syndicate desk to ensure long or short positions are accurately reflected on books and records of firm. Prepared monthly and interim reports for both management and NASD submission on underwriting processes, departmental volume, quality control, overall IPO activity and “share flipping.”

Assist Equity Derivative Group with Underwriting transaction, DTC questionnaires, CUSIP applications and finalizing of transactions.

Customer Services:-

Leading a team of 14 staff in Customer Services team, with 2 AVPs to oversee all Asia Pacific markets cash equities and FICC, ETF settlement operations function, and the self-clearing function of HK market.

Settlement operations activities including the process after the trades booked and feed to the Operations system until trade matched and settled at the custodian.

Set up SPOC (Single Point of Contact) team to serve Platinum Client and won the first place at the ZYEN Survey

Markets covered all AP markets including AU&NZ, Japan, and those DTC & Euro trades from Asia Customers.

Manage projects initiated by Asia Pacific Trading Desks, such as establishing infrastructure for new products, new markets. Agreed and document the operational processes and procedures with all related parties.

HK Brokerage – self-clearing

For HK self-clearing, cover all the HK stock settlement via CCASS.

Responsible for ensuring that appropriate controls are in place to mitigate operational risks including fails management

Constantly seeking to improve operational efficiencies in the settlements and other areas;

Donaldson, Lufkin & Jenrette Asia Ltd (Brokerage Firm)

Settlement Manager October 1998 - November 2000

Responsibility & Achievements

Assist the Operations Manager to set up a settlement team, which included : set up the Settlement Procedure for each market, system testing and development; appoint local brokers and custodian banks for the Asia Markets. Negotiated with them on the brokerage and custody fees to a competitive level.

Development on specific restricted markets, like Taiwan, Korea, and India.

Running a team with 5 subordinates on the daily routine operation of securities settlement in Asia market, including HK, China, Singapore, Malaysia, Thailand, Indonesia, Taiwan, Korea, Philippines, Euro Market, and US Market.

Monitoring the cash flow for each market, with local brokers and custodian banks in various countries, look after the corporate action, stock borrowing and lending arrangement; IPO in Asia, and US Market settlement.

Liaison with various department, such as IT, Finance, trading desk etc to set up the contingency procedure

NatWest Securities Hong Kong Limited (Brokerage Firm)

Manager – Settlements April 1997 - January 1998

Executive – Settlements June 1995 - March 1997

Responsibility

-Assist the Head of Settlement to set up a settlement team, procedures, testing and developing the settlement system, arrange implementing of the interface settlement system

-Running a team from 3 staffs to 12 staffs for the daily routine operation of securities settlement including HK, China, Singapore, Malaysia, Thailand, Indonesia, Taiwan, Korea, the Philippines, Euro Market, and US Market.

-Corporate action, dividend payment receipt, bonus, and rights issue, warrants etc.

-Monitoring cash flow for each market, liaison with local brokers and custodian banks in various countries

-Arranging the settlement of IPO, issue of Cover Warrants, New Issue.

MeesPierson Management Asia Limited (Fund Management Company) (Now known as Fortis Bank)

Assistance Manager - Custodian Settlements September 1987 - June 1995

Responsibility

-Assisting the Senior Manager for the daily operation and custodian services for the Fund Manager.

-Settlement for Asia market including HK, China, Singapore, Malaysia, Thailand, Indonesia, Taiwan, Korea, Philippine, Euro Market, US Market. Products including: Fix income, equities, bonds, CB, Index future

-Monitoring cash flow for each market and arranging FX when necessary.

-Liaison with Fund Manager, brokers and custodian banks

-Handling corporate action, dividend payment receipt, bonus, rights issue, warrants etc.

EDUCATION

September 1999 – Aug 2001 Royal Melbourne Institute of Technology, Australia

Bachelor of Business ( Economics and Finance)

September 1998 - July 1999 The Chinese University of Hong Kong

Diploma in Finance

Language : English (Fluent), Cantonese (Fluent), Mandarin (Fluent)

IT Skills : Proficient in Microsoft Office (Access, Word, Excel, PowerPoint,)

Available : Immediately

Status : US permanent resident

Contact this candidate