Experience

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  Linking law firm

  Apr 2012 - Jan 2016

  Associate

  • Performed legal research and drafted civil complaints and legal opinions for attorneys, regarding tort, real estate property, and patent issues. • Reviewed case files and drafted court filings for attorneys in connection with civil enforcement proceedings. • Interviewed clients, briefed, and updated the attorneys on case issues and progress.

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  Taitra global (taiwan external trade development council)

  Jan 2016 - Jan 2017

  Senior legal associate

  • Drafted and revised legal memoranda and contracts regarding purchases using government funds, including purchases of outsourcing services, and operational equipment. • Analyzed regulations regarding international business transactions and provided legal opinions to senior management and corporations in Taiwan based on the results of the analysis.• Managed the Council’s litigation-related issues, including reviewing complaints drafted by outside counsel, filing briefs in court, and briefing cases to senior management. • Collaborated with legal department of the Ministry of Economic Affairs of Taiwan to conduct regulatory study for Taiwanese corporations. Show less

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  元大寶來證券

  Jan 2017 - Jun 2019

  Compliance and aml advisory - assistant manager, overseas units

  • Identified, vetted, and address potential regulatory compliance and AML risks or escalated issues to safeguard the company, overseas subsidiaries, and its clients. • Cooperated with the team to provide advice to business units and stakeholders regarding the applicability of regulations and policies and the implementation of AML program and regulatory changes. • Inputted advice on the legality of complex transactions, new products, and business initiatives. • Supervised and participated in internal compliance and AML assurance and optimization processes, including but not limited to group-wide institutional compliance and AML risk assessment, self-assessment, and action plans regarding external and internal audit findings. • Established and implemented compliance and AML risk management policies, procedures, and standards and continuously modified them based on regulatory changes or updates. • Advocated, promoted, and ensured the consistency of group compliance and AML risk management practices and policies within business lines, cross-sectors, or in foreign subsidiaries. • Gathered and analyzed compliance and AML related data and prepared risk assessment reports.• Monitored the updates of regulatory changes, compliance and AML related issues, and escalations, and conducted trainings on related topics.• Prepared the suspicious activity reports. Show less

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  Massachusetts division of banks

  Jan 2020 - May 2021

  Legal affairs - intern

  • Reviewed and summarize bank merger and acquisition applications and materials for General Counsel. • Drafted legal opinions for issues presented by banks under supervision. Such as the regulatory compliance requirements for business expansions and operational matters under state and federal laws.

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  永豐銀行

  Sept 2021 - Jul 2022

  Compliance officer

  • Maintained the up-to-date of the internal policies and procedures of the firm.• Gathered, tracked, and analyzed regulatory changes and communicate such changes to relevant parties and stakeholders. • Provided advises to local and overseas business units(including but not limited to overseas branches, corporate finance, AML center, etc.)for the compliance of local laws, regulations, and internal policies on various transactions, business initiatives, and operational matters.• Coordinated ad-hoc compliance projects for local and overseas business units in Hong Kong and Singapore.• Conducted periodical compliance risk assessment and self-assessment.• Reviewed and provided approval to marketing materials. Show less

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  Pgim

  Jul 2023 - now

  • Manager, Compliance Advisory, Securities Investment Trust

    Apr 2025 - now

  • Deputy Manager, Compliance Advisory, Securities Investment Trust

    Jul 2023 - Apr 2025