Quantitative Trading - Risk & Compliance Leader

Swithin Chan

(852-****-**** · ***********@*****.***.** · linkedin.com/in/swithin-chan-51a87824

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• Quantitative Analysis • Risk Management

• Regulatory and Compliance • Vendor Management • Strong Product Knowledge

• CFA • IT Technical and Development Skills

Nine Years of Chinese Financial Institution experience specialized in Futures Sales and Trading PROFESSIONAL EXPERIENCE

Jan 2019 - Present

ICBC International Securities, Hong Kong

Apr 2022 – Present

VP, Business Management Office, Sales &Trading Division

• Risk Governance, Surveillance and Preventive Management: Controlled Sales & Trading Operational Risk by examining trading flow charts and processes, tackled technical and regulatory challenges during the pandemic by developing electronic covid and team roster inputting program, ensured audit data accuracies.

• Legal and Compliance Monitoring: Complied with HKIDR, SPAC license and Sponsor Coupling rules required by SFC and HKEX ; answered questionnaires by regulators.

• Integrated Management Statistics: Developed KPI and KRI template for management decisions, drafted responses to regulators, HQ and other departments more than one to two times each month.

• Trading System Upgrades; Reduction of manual trade booking: Completed more than 20 system requests with IT including IBSS, SPTrader, Vicsoft, Bloomberg Tradebook etc; Streamlined 10 electronic forms from Front to Back Office; Proposed SPAC/A-shares daily post-trade analysis by developing VBA and Bloomberg terminal API.

Achievements:

• Onboarded IPO Key Operating Procedures (KOP) signed by Management upon Aug2022 sponsor coupling rules, and enhances equity, bond, margin financing, repo, suitability, compliance KOP.

• Conducted In-depth risk assessment of Sales & Trading by interviewing Sales and Traders and followed up 140 risk items with compliance, operations, risk and technology within 6 months.

• Utilized SMTPS protocol for automated email reports. Automated A shares monitoring by VBA and Bloomberg API.

• Improved limit order parking of equity trading system from 24 ticks to 72 ticks to better client service; Debugged 10 Office Administration Forms for more than 10 IPOs independence declarations

(Onewo, AIM Vaccine, Giant Biogene etc) and 230 trading tickets; 3 PowerShell email automation script; IAsia IBSS upgrades, ICBC email migration, website upgrade, GCMS and IPMS. Swithin Chan

(852-****-**** · ***********@*****.***.** · linkedin.com/in/swithin-chan-51a87824 Page 2 of 3

Jan 2019- Apr 2022

Senior Associate to VP, Equity and Futures Dealer, Sales and Trading Division

• Order Execution: CNY futures market making, equities, futures, options, as well as institutional, retail and corporate bonds.

• Expanded Client Base: Generated new futures and equity flow business, provided daily market commentaries.

• Book buildings: Executed some of the biggest IPO book-buildings of the past few years (Ant, Alibaba, JD, JD Health, Netease, YumChina etc).

• Facilitated crucial meeting sessions: Included a notable one with HKMA public investment division.

• Software maintenance: Settled customers’ US stocks connection problems, testing UAT environments.

Achievements:

• Debugged more than 10 Customer Connection Problems and increased US Equities flow from ICBC Asia to more than five-folds; arranged 2 HKMA meetings to promote ICBC image; promoted block trading with participants and done various equities block trades; executed more than 200-300 trades. May 2016- Jan 2019

BOCOM International Securities, Hong Kong

Associate, Equity and Futures Dealer, Equity Brokerage Division

• Rolled out Foreign Futures Business and System (Esunny) in a famous Chinese Bank Brokerage.

• Execution of Foreign futures (CME, LME, Eurex, etc), HKEX Stock Options, and Foreign Stocks. Achievements:

• Executed more than 400 trades, Updated Futures Risk Monitoring Policy, arranged 1 HKMA meeting to promote futures service, connected with HKEX EPs (Optiver, JPM) for stock option block trading quotes.

May 2014- May 2016

Maike Futures, Hong Kong

Associate, Futures Dealer

• Execution of foreign futures orders, Esunny system debug, futures intraday margin monitoring.

• Automated Bloomberg index components incorporating Bloomberg forecast; LME carry reports. Swithin Chan

(852-****-**** · ***********@*****.***.** · linkedin.com/in/swithin-chan-51a87824 Page 3 of 3

Mar 2013- Feb 2014

Polytechnic University, Hong Kong

Research Analyst

• Assisted research topic in “Risk Management in Low Latency Trading” on Tick-by-Tick data analysis and built risk modules as a vendor.

• Explored warrant Vega in Black Scholes and explored literature in unbiased realized volatility/FPGA.

• Web scraping using Python and Vega report using VBA. Oct 2011- Jun 2012

Citibank Central Branch, Hong Kong

Meeter and Greeter

Aug 2010- Mar2011

Hang Seng Bank Risk Management, Hong Kong

Business Risk Officer

• Credit Card Acquisition strategy and Charge-off analysis of 6 million client data using SAS EDUCATION & SKILLS

Sep 2008- Sep 2010

The Chinese University of Hong Kong

Bachelor of Sciences, Risk Management Science

Professional Certification: Certified Financial Analyst (CFA) Computer Skills and Language: MS Word(+VBA), Excel(+VBA), PowerPoint, C++(windows/Linux g++ basics), PowerShell(5.1/7.3), Python, Linux(Fedora+Ubuntu+Deepin), Emacs editor Language: Cantonese (Native), Mandarin (Native), English (Fluent)

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