| No |
Role |
Company |
Company Address |
Dates Employed |
Employment Duration |
| 1 |
Head of Compliance, Asia Pacific |
Wells Fargo |
Hong Kong |
Jun 2015–Present |
6 yrs |
| 2 |
Deputy Head of Compliance & Operational Risk, Asia |
Wells Fargo |
Hong Kong |
Sep 2011–May 2015 |
3 yrs 9 mos |
| 3 |
Head of Communication & Trade Surveillance, APAC ex Japan (Director) |
Deutsche Bank |
|
Jan 2010–Sep 2011 |
1 yr 9 mos |
| 4 |
Senior Compliance Manager (Director) |
Deutsche Bank |
|
Mar 2007–Jan 2010 |
2 yrs 11 mos |
| 5 |
Compliance Officer (VP) |
Morgan Stanley |
|
Mar 1999–Feb 2007 |
8 yrs |
| 6 |
Market Investigations Manager |
LIFFE |
|
Feb 1995–Feb 1999 |
4 yrs 1 mo |