Denis CHIU

-International Regulatory oversight: DFA, MIFID II, EMIR.

-Local Regulatory oversight: HKMA, SFC circulars Gap analysis

-1LOD Operational Risk oversight including Governance Forum for GM, GTB, GTB businesses.

-Surveillance monitoring to ensure no unauthorised trading.

-RCSA coordinator.

-Audit recommendations follow up

-Incident follow up coordinator.

-New Business Initiative contributor.

-Scenario analysis review.

-Global Standards analysis.

-1LOD Operational Risk for Global Markets covering EQD, Prime Services & Financing, G10 Rates, Primary & Credit Market and Algo Trading.

-RCSA: Design the operational risk cartography including the assessment of the intrinsic and residual risks.

-New Business Initiative: coordination with functions (Business, Compliance, Legal, Tax, Operations. IT, Finance, Risk) to assess the risk profile prior launch.

-Governance: Lead Business Forum and Conduct Committees with Senior Management via Monthly Dashboard.

-Incidents follow-up: ensure proper escalation, incident report write-up with remediation action plan.

-Procedures: Ensuring FO process and controls are up to date and notify Business of any policy change.

-Team supervision: 2 staffs.

-Trade capture and life cycle monitoring on Leverage Financing Business.

-Project lead to implement processes and controls for the Leverage Financing Front to Back.

-HKMA Phase II: onboarding and deployment of HKTR reconciliation.

-KPI: Monitor fails, cancels and amends and operational incidents.

-Create procedure to ensure processes and controls are up to date.

-Governance: Update Senior Management on KRI and achievements.

-RCSA: ensure the effectiveness of the control framework is still valid.

-Training and Coaching junior staffs.

-Trades capture and life cycle monitoring: expiry, fixings, barriers triggers and unwinds.

-KRI: Late, pending and duplicate trades monitoring.

-Business Management: Traders and Sales P&L analysis.

-Key role by enhancing communication between HK and London.

-Streamlining processes and controls FO to BO: Optimization on BAU tasks ie Back to Back mirroring.

-Fixings automation project: operational risk mitigation with no human intervention

-Team supervision: 3 staffs.

-Trade validation for Equity, Commodity, Fixed Income businesses.

-Event monitoring: Fixing, expiries, early terminations, corporate actions.

-Achievements: Key role in enhancing communication between HK, London, U.S. and Paris.

Project lead: re-design outdated process and deploy effective control ie cross calendars between Bloomberg and Sophis for Structured EQD products.

-Trade support Equity and Fixed Income: Trade capture in Sophis, Summit, Murex and Calypso.

-Major participant of the project Pool Liquidity for BPCE: Treasury trades migration from Calypso to Summit: coordinate with IT on gateway creation, P&L review with MO and Product Control.

-First level of control and validation of vanilla and structured products in Sophis.