Chun Tak Kwok

Experience

• 

  Shenwan Hongyuan (H.K.) Limited

  Apr 2010 - Mar 2012

  Compliance Assistant

  • Conduct regular compliance reviews and handle SFC license applications, including CPT and training materials preparation.• Respond to inquiries from regulators such as SFC, HKEx, ICAC, and CCB.• Prepare Suspicious Transaction Reports (STRs) to JFIU and cross-check client lists with the latest Sanction List.

• 

  ABC International Holdings Limited

  Mar 2012 - May 2013

  Compliance Officer

  As a Compliance Officer at ABC International Holdings Limited, I was responsible for conducting compliance reviews, handling SFC license applications, responding to regulatory inquiries, preparing Suspicious Transaction Reports (STRs) for JFIU submission and providing CPT sessions for the SFC-licensed staff.My duties also included some Control Room functions, e.g. the maintenance of Restricted and Watch List, monitoring of Personal Account Dealing (PAD) and the Independence Checking of the Investment Banking Transactions.The company possessed SFC Types 1, 4, 6 and 9 licenses, and the types of investment products/services offered included securities (both listed stocks and fixed income products), research reports, corporate finance, asset management, direct investment management, etc. Show less

• 

  Emperor Securities Ltd

  Oct 2013 - Jul 2015

  Compliance Officer

  - Perform regular compliance checking- Review the policies, manuals, procedures and guidelines relevant to compliance- Answer enquiries from regulatory authorities- Handle FATCA-related task- Provide compliance advice for launch of new business

• 

  RHB Banking Group

  Jul 2015 - Feb 2016

  Assistant Vice President

  During my tenure with RHB, my job duties included:• Managed Compliance Review Program and investigated customer complaint cases at RHB Banking Group in Central, Hong Kong.• Oversaw SFC licenses for Company and staff, ensuring regulatory compliance and prepared internal reports for headquarters in Malaysia.

• 

  South China Group

  Jun 2016 - May 2019

  • Compliance Manager

    Aug 2018 - May 2019

  • Assistant Manager Compliance

    Jun 2016 - Jul 2018
• 

  VMS Group

  Jun 2019 - Jun 2020

  Compliance Manager
• 

  BC Invest

  Jan 2021 - Mar 2024

  Compliance Manager

  BC Invest is a diversified financial services group which provides specialized financial solutions such as providing home loans, non-resident lending, asset management, and also offering advice on property selection and purchase, taxation and financial advices, etc. The Group also provides highly personalized service to those seeking to build their wealth through property investment outside their home market.BC Invest is a multi-nation corporation, with 11 offices located in Australia, Hong Kong, United Kingdom, Mainland China, New Zealand and South East Asia countries such as Malaysia, Singapore and Vietnam.I work in BC Invest as the Compliance personnel to set up the compliance framework for the Hong Kong's asset management business, as well as oversee the lending activities of a BC entity which has acquired the money lenders licence. Show less

• 

  Ant Bank (Hong Kong)

  May 2024 - Aug 2024

  Senior Compliance Specialist

  Ant Bank (Hong Kong) Limited is a virtual bank based in Hong Kong. The Bank officially launched its banking business in September 2020 and has offered its banking services (including account opening, saving accounts, remittance, loans, “buy now pay later” service, etc.) to retail customers, entrepreneurs and small and medium enterprises (“SMEs”) in Hong Kong with aims to offer unprecedented online commercial banking services in Hong Kong, and to promote financial inclusion with technology. In 2024, it also commenced its bancassurance business to offer life insurance products to customers. Show less