Accomplished, integrity-driven Chief Compliance Officer with extensive experience in regulatory compliance, risk management, and data analysis. Proven ability to lead and develop compliance programs that align with global regulatory standards. Adept at navigating complex regulatory frameworks, mitigating compliance risks, and ensuring adherence to international best practices. Strong academic background in Economics and Statistics, coupled with technical expertise in data analysis, makes a unique blend of strategic and analytical skills. Fluent in English and Mandarin.
Summary
Core Competencies
- Regulatory Compliance (AML, KYC)
- Risk Management & Mitigation
- Financial Crime Prevention
- Internal Auditing & Policy Development
- Data Privacy (GDPR, Data Protection)
- Quantitative Research & Statistical Analysis
- Compliance Training & Development
- Strategic Planning & Integration
- Stakeholder Communication & Regulatory Reporting
Professional Experience
WX Trading Pty Ltd
Chief Compliance Officer
March 2018 - Now
- Spearhead the development and execution of comprehensive compliance programs, ensuring adherence to all relevant regulatory requirements, including AML and KYC frameworks.
- Oversee risk management strategies to identify, monitor, and mitigate compliance-related risks, ensuring the company operates within legal parameters.
- Lead internal compliance audits, identifying areas of improvement and implementing corrective measures to ensure regulatory alignment.
- Act as the primary liaison with regulatory bodies, facilitating smooth communication and resolution of compliance-related issues.
- Developed and delivered ongoing compliance training programs, ensuring all employees are knowledgeable about the latest regulations and internal policies.
- Implement data privacy initiatives to ensure compliance with international data protection standards such as GDPR.
- Manage the investigation and resolution of potential compliance breaches, ensuring swift corrective action.
- Collaborate with executive leadership to integrate compliance strategies into the overall business framework.
Projects
Research Projects
Data Analyst
- Applied statistical and analytical skills to various research projects, including investigations into economic phenomena and data-driven strategies.
- Led spatial and statistical analyses to provide actionable insights for different business and research needs.
- Utilized programming languages such as R, Python, and Stata to conduct in-depth quantitative research.
Education
Australian National University
Economics & Bachelor of Statistics - Bachelor
2013 - 2017
- Developed a strong foundation in statistical analysis, economic modeling, and quantitative research methodologies.
- Relevant Projects:
- Investigated the relationship between the lifespan of male fruit flies and their sexual activity through data analysis.
- Performed spatial analysis of insurance availability in Chicago, studying how racial composition and age of housing influenced underwriting practices.
- Analyzed seasonality in the Australian equity market and proposed optimized investment strategies.
- Successfully replicated a study on ecological networks via Bayesian Melding, using Monte Carlo simulations.
Technical Skills
Microsoft Office (Word, Excel, PowerPoint, Access)
Visual Basic for Applications
R, Python, Stata, Eviews, Haskell
Data Visualization & Statistical Modeling
Quantitative Research & Data Optimization