Joshua Lim

Experience

• 

  UBS Wealth Management

  Oct 2007 - Apr 2008

  Equities Operations Analyst

  • Managed settlements and trade processing for options’ trades.• Corporate Action on option expiries, knock out events and shares assignment for PB client positions.• Advised Front Office and Operations on any trade discrepancies

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  Standard Chartered Bank

  Jun 2008 - May 2019

  Project DeliveryPart of a team that led the global Client Due Diligence Target Operating Model rollout inclusive of the operationalisation of CDD procedures. Governance• Liaise with key stakeholders such as Group Internal Audit, policy owners and financial crime compliance on Customer Due Diligence (“CDD”) remediation exercises, DFS/US Monitor issues and ensuring overall compliance with the bank’s group policies & procedures • Remediation of CDD gaps and deficiencies (poor quality or missing CDD) via improved CDD policies and procedures • Preparation and maintenance of process notes and validation memos that improves CDD policies and addresses any potential gaps Show less • Supporting the Global Equity Derivatives Front Office, inclusive of the Equity Flow and Structured Desks.• Trade Validation – Ensuring consistency between trade bookings and termsheets.• Trade life cycle management – periodical fixings and payment calculations, expiration and knock-outs, booking/termsheet discrepancies (Stakeholders – FO, Settlements, Documentations, Client Coverage.)• Portfolio creation and management. Ensure accurate portfolio positions, maintaining of FO cash balances (Stakeholders – Front Office, Product Control, Market Risk)• Risk management - Ensuring mitigating risk controls in place such as maintaining up-to-date DOIs, risk, reports, daily checklists, low key man risks (shared knowledge) • Projects – Writing and testing for new booking models for new products and booking models liaising with Front Office & structurers on UAT testing. Show less • Preparing and reviewing confirmations for equity derivative products such as structured & vanilla swaps and options as well as Structured Notes programmes. • Liaise with Legal & Front Office to structure bespoke templates adhering to ISDA standards. • Preparing periodical Fixing Advices for swaps & options, liasing with Settlements and Middle Office on trade investigations & discrepancies• Preparation of Listed Warrants documentation for listing on Hong Kong Exchange.• Reporting on trade volume and drafting numbers for senior management. Show less

  • Associate Director - Group Compliance

    May 2018 - May 2019

  • Manager - CDD Process & Governance

    Jun 2017 - May 2018

  • Senior Business Analyst – CDD Corporate & Institutional Clients

    May 2014 - May 2017

  • Business Analyst - Equity Derivatives Financial Markets Operations

    Oct 2012 - May 2014

  • Analyst - Equity Derivatives Middle Office Trade Support

    May 2011 - Oct 2012

  • Analyst, Equity Derivatives Documentation

    Jun 2008 - May 2011
• 

  MUFG

  May 2019 - Dec 2020

  Vice President - Regulatory Compliance & Change

  Support MUFG"s Asia Compliance Office in rolling out key Compliance policies within APAC region

• 

  DBS Bank

  Dec 2020 - now

  Vice President - Strategic Workforce Transformation, Group Consumer Banking