YIU CHUNG THOMAS Leung
Woking,Surrey
Summary
I have held the title of a chartered accountant in both Hong Kong and Australia for more than a decade. I have honed my skills in auditing and financial regulatory compliance, specializing in Fintech and investment banking. Currently serving as a Compliance Officer at Privat 3 Money Limited, I demonstrate proficiency in KYC operations, transaction monitoring, and financial reporting. My leadership journey includes a significant role as Head of Compliance at CMBC Capital Holdings Limited, where I successfully embedded a strong compliance culture and spearheaded innovative initiatives in Fintech development. A member of professional bodies, my commitment to upholding the highest standards of integrity is unwavering. Through diverse roles and international exposure, I've developed a comprehensive skill set, combining technical prowess with strategic acumen. Eager to leverage this expertise in contributing to dynamic teams and steering organizations towards excellence in financial regulatory compliance
Overview
18
18
years of professional experience
Work history
Compliance Officer
Privat 3 Money Limited
London, United Kingdom
04.2022 - Current
- Business natures: Fintech company provides payment services and card schemes
- Responsibilities span from client onboarding and transaction monitoring to internal accounting and financial reporting.
- In-depth involvement in safeguarding audits and compliance with e-money regulations.
- Shows adaptability by transitioning from a role in Hong Kong to a compliance officer position in the UK Fintech industry.
- Serve as a backup to the internal accountant, manage daily operations of the core accounting system, which includes inputting accounting entries and processing inter-bank transaction, and produce financial report.
Head of Compliance
CMBC Capital Holdings Limited
, Hong Kong
07.2017 - 09.2021
- Business natures: Fintech company provides stock brokerage, payment and investment advisory services (100 staffs)
- Served as MLRO, demonstrating expertise in anti-money laundering and regulatory compliance.
- Active engagement with regulators, oversight of compliance culture, and strategic involvement in Fintech development.
- Led the design and deployment of in-house account review systems and coordinated with external vendors for regulatory reporting tools.
- Managed compliance functions, addressing issues such as regulatory investigations and client complaint resolution
- Provided staff with regulatory guidance and interpretation
Compliance Manager
SPDB International Holdings Limited, Pudong Development Bank
, Hong Kong
01.2016 - 01.2017
- Business natures: Investment Bank (60 staffs)
- Served as MLRO, demonstrating expertise in anti-money laundering and regulatory compliance.
- Providing both strategic and operational compliance and regulatory affairs in support of the Company's operations
- Facilitate the Company's business strategy, help mitigate business threats and keep the Company's operations in compliance with relevant regulatory requirements
- Compliance oversighted includes, OFAC compliance, privacy issues, monitoring and testing, risk assessment oversight and remediation, legislative and advertising review
Compliance Manager
Fulbright Securities Company Limited
, Hong Kong
01.2015 - 01.2016
- Business natures: Financial broker (200 staffs)
Assistant Compliance Manager
Yuanta Securities (Hong Kong) Company Limited
, Hong Kong
01.2013 - 01.2015
- Business natures: Financial Brokers
Assistant Compliance Manager
ABC International Holding Limited
, Hong Kong
01.2012 - 01.2013
- Business nature: Investment Bank
Compliance Officer & Company Secretary
Mega Securities (Hong Kong) Company Limited
, Hong Kong
01.2011 - 01.2012
- Business nature: Financial advisor
Compliance Officer
Bright Smart Securities Company Limited
, Hong Kong
01.2009 - 01.2010
- Business natures: Financial Brokers
Internal Audit Officer
Tricor Services Limited
01.2008 - 01.2009
- Business natures: Accounting and company secretary professional service firm
- Work as a team reviewing the internal control system throughout the head office and overseas' subsidiaries
- Manage audit assignment under risk-based approach
- Perform procedural and operational review on departmental level.
Audit Intermediate
F.S.Li & Co. CPA
, Hong Kong
01.2006 - 01.2008
- Business natures: External audit and accounting practices
- In charge of statutory audit of various companies including manufacturing, trading, investment holdings, and securities industry, etc
- Testing and advising internal control system as well as guiding junior in addressing the audit matters
Education
Bachelor of Commerce - Accounting
University of Adelaide
AustraliaFellow CPA -
CPA Australia
CPA -
The Hong Kong Institute of CPA
Specialist Certificate in Financial Crime Risk in Cryptocurrencies
International Compliance Association (ICA)
Skills
- Risk assessment
- Critical thinking, problem-solving and analytical skills
- Accounting knowledge
- KYC Operations
- Integrity
Languages
English
Fluent
Chinese (Mandarin)
Fluent
Chinese (Cantonese)
Native
Timeline
Compliance Officer
Privat 3 Money Limited
04.2022 - Current
Head of Compliance
CMBC Capital Holdings Limited
07.2017 - 09.2021
Compliance Manager
SPDB International Holdings Limited, Pudong Development Bank
01.2016 - 01.2017
Compliance Manager
Fulbright Securities Company Limited
01.2015 - 01.2016
Assistant Compliance Manager
Yuanta Securities (Hong Kong) Company Limited
01.2013 - 01.2015
Assistant Compliance Manager
ABC International Holding Limited
01.2012 - 01.2013
Compliance Officer & Company Secretary
Mega Securities (Hong Kong) Company Limited
01.2011 - 01.2012
Compliance Officer
Bright Smart Securities Company Limited
01.2009 - 01.2010
Internal Audit Officer
Tricor Services Limited
01.2008 - 01.2009
Audit Intermediate
F.S.Li & Co. CPA
01.2006 - 01.2008
Bachelor of Commerce - Accounting
University of Adelaide
Fellow CPA -
CPA Australia
CPA -
The Hong Kong Institute of CPA
Specialist Certificate in Financial Crime Risk in Cryptocurrencies
International Compliance Association (ICA)
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