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Summary
Skills
Work History
Education
Languages
Certification
Hobbies
Award
Quote
Timeline

Ben Tsoi

Experienced Compliance Officer
Hong Kong
Summary

Detailed-oriented and organized compliance manager with 15 years of experience in regulatory compliance gained from front-line regulatory body and international investment banks. Dedicated to optimising adherence to regulations, standards, policies, procedures on a pragmatic and risk-based approach. Proven track record of collaboration with executives and business leaders to analyze operations, identify vulnerabilities, and design and implement corrective actions and process improvements

Skills

Strategic planning

Change management
Continuous improvement

Project planning and development

Relationship building and retention

Staff management

Advanced problem solving

Critical and analytical thinking

Compliance knowledge

Work History

Vice President

Macquarie Group Limited
2016-11 - Current
  • Lead Macquarie's global equity regulatory reporting function ("ERR"), and manage and establish effective and risk-based compliance and governance framework to adequately discharge reporting obligations
  • Monitor and track regulatory requirements and enforcements, and constantly identify risks, gaps, and areas of enhancements in existing processes
  • Critically review regulatory changes and new product or business initiatives
  • Work collaboratively with stakeholders to design and implement tactical and strategical solutions for both regulatory changes, and continuous improvement and operational efficiency initiatives
  • Formulate book of works and roadmaps, prioritize projects, and influence and obtain buy-in from key stakeholders with clear business cases
  • Ensure all ERR reports are brought under governance of Macquarie Group's Regulatory Reporting Policy
  • Participate industry forums, and regulators' soft and formal consultations

Compliance Manager

J.P. Morgan Chase & Co
2015-06 - 2016-10
  • Managed APAC ERR compliance team co-located in HK and SG, and supervised ERR operations team for ERR BAU processes
  • Monitored and fulfilled JPM's equity related reporting obligations and requirements in 16 APAC markets ex-Japan, and tracked regulatory developments in these markets
  • Provided subject matter expert advices to stakeholders on new products and services offering and business initiatives, and M&A transactions
  • Collaborated with global equity regulatory reporting teams to develop new global reporting system

Assistant Vice President (Team Lead)

Hong Kong Exchanges & Clearing Ltd
2007-03 - 2015-06
  • Managed vetting team of three for a portfolio of IPO listing applications, and ensured the team's operations adhered to the HK Stock Exchange' compliance and assurance program
  • Critically reviewed IPO applications, and identified and reported regulatory risks and issues regarding both applicants' operations and their listing documents
  • Made recommendations on IPO applications to the Listing Approval Committee, and addressed Committee's queries
  • Participated in ad-hoc projects, including review of Listing Rules and IPO vetting processes, and publication of guidance letters, listing decisions, and FAQs to market participants

Senior Supervisor

China Resources Textiles (Holdings) Ltd
2005-01 - 2007-02
  • Managed financial reporting team to meet internal and statutory financial reporting obligations, and analyzed financial and operating results
  • Participated in ad-hoc projects including group restructuring and migration to new accounting system (SAP)

Senior Accountant

Deloitte Touche Tohmatsu
2001-01 - 2005-01
  • Led IPO, and annual audit engagements for listed companies and MNCs, and prepared statutory financial statements in accordance with applicable Financial Reporting Standards
Education

Bachelor of Commerce Accounting

The University Of Auckland
1997-03 - 2000-10

Bachelor of Science Computer Science

The University Of Auckland
1997-03 - 2000-10

High School Diploma

Liston College
1991-01 - 1996-11
Languages

English

Cantonese

Mandarin

Certification

Fellow (CPA), The Hong Kong Institute of Certified Public Accountants

2013-03

Associate (ACIS, ACS) – the Hong Kong Institute of Chartered Secretaries

2014-01

Hong Kong Licensing Examination Regulatory Papers 1, 2, 6, and 7

2020-12
Hobbies

Playing competitive and social tennis, travelling, hiking, cooking, and volunteering

Award

Waitakere Trust Scholarship 1997

Quote
Every problem is a gift—without problems we would not grow.
Tony Robbins
Timeline

Hong Kong Licensing Examination Regulatory Papers 1, 2, 6, and 7

2020-12

Vice President

Macquarie Group Limited
2016-11 - Current

Compliance Manager

J.P. Morgan Chase & Co
2015-06 - 2016-10

Associate (ACIS, ACS) – the Hong Kong Institute of Chartered Secretaries

2014-01

Fellow (CPA), The Hong Kong Institute of Certified Public Accountants

2013-03

Assistant Vice President (Team Lead)

Hong Kong Exchanges & Clearing Ltd
2007-03 - 2015-06

Senior Supervisor

China Resources Textiles (Holdings) Ltd
2005-01 - 2007-02

Senior Accountant

Deloitte Touche Tohmatsu
2001-01 - 2005-01

Bachelor of Commerce Accounting

The University Of Auckland
1997-03 - 2000-10

Bachelor of Science Computer Science

The University Of Auckland
1997-03 - 2000-10

High School Diploma

Liston College
1991-01 - 1996-11