Wai Kei, Leung (Ricky)
Salford,Greater Manchester
Summary
Experienced Brokerage Responsible Officer with 19 years in wealth management, securities trading, compliance and team management, specializing in client satisfaction and tailored financial solutions, including securities, insurance, IPOs, and credit facilities. Strong expertise in AML, KYC, and client relationship management.
Overview
19
19
years of professional experience
3
3
years of post-secondary education
1
1
Certification
Work History
Responsible Officer - Type 1
Mighty Divine Securities Limited
Hong Kong
03.2021 - 09.2024
- Supervised and enforced compliance with SFC regulations and AML policies.
- Managed SFC Type 1 activities, including client onboarding, portfolio management, and compliance reporting.
- Developed and implemented risk management strategies to mitigate investment-related risks.
- Conducted regular audits and compliance reviews to ensure adherence to best practices.
- Prepared and submitted regulatory reports and filings to the SFC, maintaining accuracy and timeliness.
- Investigated and resolved compliance issues in collaboration with legal and regulatory teams.
- Stayed updated on evolving regulatory requirements, adapting policies and procedures accordingly.
- Developed and maintained AML and compliance policies to ensure their effectiveness.
Sales Director - Retail Sales Department
First Shanghai Securities Ltd.
Hong Kong
08.2020 - 03.2021
- Coordinated IPOs and placements, ensuring regulatory compliance.
- Reviewed and approved account openings for retail and corporate clients.
- Developed and implemented sales strategies, driving growth and achieving targets.
Assistant Vice President - Sales Department
Agricultural Bank of China International Securities Co. Ltd.
Hong Kong
05.2020 - 08.2020
- Reviewed and approved account openings and credit reports, ensuring compliance and risk management.
- Recruited and developed account executives, enhancing team capabilities and achieving sales targets.
- Developed and implemented sales strategies, driving growth and providing high-quality client service.
- Collaborated with senior management on business plans and strategies for the brokerage department.
Responsible Officer (SFC Type 1)
King Wai Asset Management Co. Ltd
Hong Kong
10.2018 - 02.2020
- Managed Dealing department, overseeing securities trades and operational policies.
- Developed and implemented AML programs, including CDD, transaction monitoring, and suspicious activity reporting.
- Acted as liaison with SFC, ensuring regulatory compliance and internal controls.
- Managed client portfolios, provided investment advice, and ensured compliance with mandates.
- Prepared and submitted regulatory reports to SFC, maintaining accurate documentation.
- Investigated and resolved compliance issues, collaborating with legal and regulatory teams.
Sales Director
Everbright Sun Hung Kai Company Ltd
Hong Kong
07.2007 - 10.2018
- Managed retail branch operations, ensuring SFC compliance.
- Led client onboarding, conducting KYC and CDD procedures.
- Coordinated IPOs and placements, liaising with clients and regulatory bodies.
- Provided wealth management services, developing personalized investment strategies.
- Maintained strong client relationships, offering support and investment advice.
- Trained and supervised branch staff, ensuring compliance with company policies.
Relationship Manager
Sun Hung Kai Financial Group - Wealth Management Dept.
Hong Kong
07.2006 - 06.2007
- Handled client onboarding, ensuring compliance with KYC and CDD processes.
- Delivered tailored wealth management portfolios and executed client stock orders.
- Maintained strong client relationships, providing ongoing support and market insights.
Customer Service Officer
Bank of China (Hong Kong) Ltd
Hong Kong
10.2005 - 06.2006
- Provided exceptional customer service, assisting clients with banking inquiries and resolving issues efficiently.
- Handled account openings, transactions, and loan applications, ensuring compliance with regulatory requirements.
- Maintained accurate records and facilitated communication between clients and other bank departments.
Research Assistant
Hong Kong University of Science and Technology
Hong Kong
06.2005 - 10.2005
- Developed applications on Nokia Symbian platform, BlackBerry phones, and Windows PDAs.
- Created programs for mobile meeting and messaging solutions.
- Conducted research and collaborated with team members on mobile technology projects.
Education
Bachelor of Engineering - Computer Science
Hong Kong University of Science and Technology
01.2002 - 01.2005
Skills
- Office: MS Word, Excel, Powerpoint
- Programming : Python, SQL, Java
- Graphic: Photoshop, Lightroom
- AI: ChatGPT, Claude, Midjourney
- Financial Market: Bloomberg, Hundsun, Sharp point
Languages
English
Fluent
Cantonese
Native
Mandarin
Native
Affiliations
- Football, Basketball, Swimming, Cooking, Driving
Certification
International Award in Barista Skills - 6/2022
References
References available upon request.
Timeline
Responsible Officer - Type 1
Mighty Divine Securities Limited
03.2021 - 09.2024
Sales Director - Retail Sales Department
First Shanghai Securities Ltd.
08.2020 - 03.2021
Assistant Vice President - Sales Department
Agricultural Bank of China International Securities Co. Ltd.
05.2020 - 08.2020
Responsible Officer (SFC Type 1)
King Wai Asset Management Co. Ltd
10.2018 - 02.2020
Sales Director
Everbright Sun Hung Kai Company Ltd
07.2007 - 10.2018
Relationship Manager
Sun Hung Kai Financial Group - Wealth Management Dept.
07.2006 - 06.2007
Customer Service Officer
Bank of China (Hong Kong) Ltd
10.2005 - 06.2006
Research Assistant
Hong Kong University of Science and Technology
06.2005 - 10.2005
Bachelor of Engineering - Computer Science
Hong Kong University of Science and Technology
01.2002 - 01.2005
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