Sales Director Hong Kong

jeff chu (QIN)

Tel: 778-***-**** email: *********@*****.***

Objective

As a Previous Holder of Series 7 and 63 Licences in New York, to find a job at a Bank or other financial institutions in Washington State, and to provide suitable solutions and services to customers in Washington State.

Work Experience

Oct 2022 – Dec 2022 TD Bank Group (Vancouver)

Financial Advisor

Reviewed identified financial products, funding alternatives and investment solutions for customers, including mutual funds, mortgage loans and student loans.

Analyse customer near-term and long-term needs and recommend tailor-made investment, borrowing and budge plans for customers.

May 2021 – June 2022 Enoch Wealth Inc. (Vancouver)

Sales Director

Reviewed identified financial products, funds and investment projects focusing on US and Canadian markets, including Canadian REITs such as Centurion, ICM, TREZ, Avenue Living, etc.

Participated weekly investment seminars for introducing private placements to investors.

Follow up customer’s feedback on different investment products presented over the weekly seminars.

Participated weekly business meetings on company strategies, and month-to-date revenue vs its target.

July 2018 – Mar 2021 Numerical Universe Asset Management (Hong Kong)

Co-founder & Chief Executive Officer

Responsible for managing the start-up investment portfolio and working with individual investors for a quantitative hedge fund.

Set up a quantitative hedge fund in Cayman Island, and worked with Fund Admin, Fund custodian banks and Brokers.

Reviewed investment guideline, subscription documents, and working with Fund Admin on quarterly performance reports.

May 2016 – Mar 2018 China Everbright Bank International (Hong Kong)

Managing Director, Head of Sales and Trading

Responsible for $500 million investment portfolio and managing sales and trading teams to achieve annual budget.

Evaluating funding alternatives and hedging instruments to managing risks of portfolios.

Responsible for setting up business for credit bond trading book and identify and participating the installation and testing of Calypso technology, a major software system specializing in Capital Markets, Investment Management, Risk Management, Clearing, Collateral, Treasury and Liquidity.

Participated several roadshows for issuing USD bonds in Asia and follow up feedback from customers who attended these roadshow meetings.

Dec 2007 – Sep 2015 BBVA Asia (Hong Kong)

Managing Director, Regional Head of Sales and Trading for Fixed Income

Built up Sales and Trading teams in Hong Kong, Taiwan, Korea, and Singapore branches. The teams trade Products in cash bonds, swaps, options and structured products in USD and major Asia currencies.

Responsible for achieving annual sales and trading budgets of EUR80 million.

The sales team has traded with 250+ customers on cash bonds that including central banks, SWF, insurance companies, asset managers and funds in Asia.

Responsible for the bank’s Hong Kong liquidity portfolio of $800 million that meets regulatory ratios. And consistently raised deposits in Hong Kong, Taiwan from corporate clients.

Oct 2005 – Nov 2007 Royal Bank of Scotland Asia ex-Japan (Hong Kong)

Managing Director, Regional Head of Rates & Hybrid Structuring

Responsible for the development and implementation of the new Asia financial market plan under the expansion effort launched by RBS in Asia-Pacific

Working closely with Head of Sales to achieve annual budget of GBP50 million on selling structured products to customers in Asia.

Responsible for marketing structured products and solutions to RBS Wealth Management (Coutts).

Responsible for weekly structured product meetings for all the sales teams in Asia ex-Japan.

The KEY change was to take a proactive marketing effort with sales to find client issues and to provide ideas, value-added solutions to clients.

Successfully built up new 9-member Structuring team from 2-member team in Asia and raised structuring effort and achieved 30% annual revenue growth in 2006-07.

Jul 2005 – Sep 2005 Bank of America, Asia ex-Japan (Hong Kong)

Principal, Regional Head of Rates Structuring

Responsible for Rates Structuring for a team covering Asia ex-Japan.

Jul 2002 – Jul 2005 Credit Lyonnais merged to Credit Agricole, Asia ex-Japan (Hong Kong)

Executive Director, Regional Head of Rates & FX Structuring

Responsible for designing yield enhancement products and hedging strategies for customers in Asia. Working closely with traders in Hong Kong, London and New York on product development.

Delivered to clients with ideas and solutions, and hosted presentations & workshops for customers in the region and assumed an active role in driving structured product business with sales team.

Working closely with Head of Sales to achieve annual budget of EUR100 million on marketing structured products to customers in Asia ex-Japan.

Responsible for pricing structured products and marketing them to UBS Wealth Management team, Bank of America Wealth Management team.

Responsible for preparing and execution of important transactions for both asset and liability business in China, Taiwan, Hong Kong, India, Malaysia, Singapore, Australia, and Korea.

Improved overall revenue and margin derived from derivatives business, largely expanded client base in Asia and instrumental in achieving increasing revenue targets.

Invited to speak at client seminar in Taiwan, Korea Client Seminar in Qingdao in 2003 and 2005.

Mar 2001 – Jun 2002 BNP Paribas, Asia ex-Japan (Hong Kong)

Director, Senior Rates/FX Structurer for Asia ex-Japan

Responsible for structuring of rates, FX and hybrid derivatives to investors & corporates in Asia.

Marketing to clients with sales staff in delivering structured products and in achieving annual budget of EUR 120 million on marketing structured products to customers in Asia ex-Japan.

Responsible for pricing structured products and marketing them to the sales team who covers internal and external private bankers (for example, BNP, UBS, Citibank private banking units).

Sep 1998 – Mar 2001 Dresdner (Commerzbank) Bank (New York)

Vice President, Risk Manager and CDO investment

Carried out structuring, risk managing and marketing process for two cash flow CDO transactions.

Designed and implemented risk models for derivatives, corporate bonds and MBS/ABS products.

VaR measures and risk model reviews and stress testing

May 1995 – Sep 1998 JP Morgan Chase (New York)

Capital Market Officer, MBS Trading & Portfolio Allocation

Managed a portfolio of mortgage-backed security and government bonds (HTM, AFS and Trading books).

Developed proprietary models to explore and implement relative value trades in the mortgage-backed securities and achieve excess return against the index.

EDUCATION

Feb 1990 – Mar 1995 Massachusetts Institute of Technology

PhD and Science Master in Operations Research

Concentrated in Operations Research, Dissertation is on developing stochastic models.

Finance: Related courses include finance theory, risk management & financial engineering, option & future markets, investment banking and markets.

BACKGROUND

Canadian citizen, fluent in English and Mandarin. Lived in US for 12 years & 17 years in Hong Kong and 3 years in Vancouver.

Completion of EMP, IFIC and Financial Planning I course in Canada, studying Personal Financial Services Advice course now and received CSFA in September 2022.

Previous Holder of Series 7 and 63 Licences in US & Responsible Officer licenses of Type 1, Type 9 & Type 4 in Hong Kong, completion of EMP and IFIC courses in Canada.

Working on Financial Planning courses with CSI in Vancouver.

In 2015, completed a Management Executive Program focused on case studies in new technologies (iPhone, Google, digital banking) & banking from IESE Business School in Spain

Hobbies including skiing, basketball, movies & Broadway musicals. Travelled extensively in Asia-Pacific, Europe, and America.

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