Saxo Markets HK

Saxo Markets is a licensed subsidiary of Saxo Bank A/S and enables individual and institutional clients to trade more than 40,000 financial instruments globally. Institutional clients such as banks, wealth managers and fintechs, can leverage Saxo’s  Business-as-a-service (Baas) digital value chain to provide a comprehensive set of products and services to their clients. Saxo also offers prime brokerage and execution services to hedge funds, family offices, prop traders, and corporate hedgers, etc.

• Focus on go-to-market strategy, launch and business development for Saxo Markets’ digital wealth management business and serve as a key voice in the Greater China region to ensure that Saxo’s Wealth Management solution/offerings see commercial success in the region.

• Identify new business opportunities, design and specify new functionalities in line with corporate strategy and commercial imperatives and communicate the roadmap clearly to the rest of the organization.

• Operate as a key member of the Greater China/Hong Kong Asset and Wealth Management team either leading or supporting Saxo’s regulatory and licensing needs in the region.

Head of Wealth Management Greater China

AQUMON

AQUMON, is a leading Artificial Intelligence (AI)-based Robo Advisor in Hong Kong. Our mission is to revolutionize the financial industry by bringing professional wealth management services to every individual regardless of age or net worth. We utilize an algorithmic, data and machine learning approach along with an intelligent digital wealth management platform so our clients can gain maximum long term return yet with lower cost, lower risk and higher transparency. AQUMON’s intelligent investment offerings is what sets it apart from its competition and our sights are set to become Asia’s #1 Robo Advisor. 

•	Focusing on increasing brand awareness, client engagement and conversion via traditional and digital Marketing strategies for AQUMON.

•	Lead Sales team to strategize how to address investors' financial needs and in turn increase user base on AQUMON's Robo Advisory platform.

Head of Sales and Marketing

•	Coordinated and orginated investment content, financial solutions, engaging speakers and executed live as a presenter for UBS' client and prospecting events in Hong Kong and mainland China. Client and prospect turnout at such events ranged from 50-1000+ in size.  

•	Curated investment content and responsible for the delivery of UBS' investment strategy with actionable solutions in their weekly investment meeting for all Client Advisors in Hong Kong. Client Advisor attendance of the investment meeting was 200+ weekly. 

•	Creatively addressed and solved how to better connect UBS' investment solutions and house views with Client Advisors and more importantly end clients.

Director of Investment Content

HSBC Private Bank

•	Directly marketed Alternative Investment products (Hedge Funds, Private Equity and Real Estate) to HSBC Private Banking clients. Total group Asia sales during employment period approximately US$250M.

•	Developed quantitative sales analysis to understand sales reach and potentially increase sales for team.

•	Set up roadshows and conducted training presentations on Alternative Investment products for clients and Relationship Managers in Asia. 

•	Provided clients and Relationship Managers with thorough after-sales support on all Alternative Investment products.

Alternative Sales Specialist

•	Provided Family Wealth Advisory clients with quantitative analysis on their investments and portfolio breakdown via HSBC Private Bank’s WeathVision Service.

•	Assisted in client advisory on investment opportunities and portfolio allocation.

Family Wealth Advisory Portfolio Analyst

Ramius LLC

•	Reported to Ramius’ head of Risk Management and supervised 2 risk analysts.

•	Responsible for the creation and management of a strategy-based daily P&L reporting system that increased P&L transparency across Ramius’ trading groups and portfolios.

•	Assisted in the development of an in-house risk management system which gave management a clear understanding of their exposure levels and ultimately helped with their hedging decisions. 

•	Took on a project manager role for numerous ad-hoc risk projects that required communication and oversight between trading groups and back-office departments.

Risk Associate

•	Engineered and maintained an Excel-based tool to streamline the payment process for all of Ramius’ credit default swaps. 

•	Helped minimize counterparty risk by obtaining all CDS confirmations and processing all payments in a timely manner.

Derivatives Support Associate

JPMorgan Chase

•	Assisted Global Derivatives Department by confirming, processing and documenting trades. 

•	Liaised with counterparty clients to obtain confirmations for a variety of derivative deals. Deals consist of but not limited to swaps, caps, floors, and swaptions.

Trade Support Analyst

Over 19-year track record of delivering outsized sales and business development growth from startups to multinational corporations. Extensive US/Hong Kong/China financial markets knowledge and client management experience quickly establishes strong rapport and trust with clients. A dynamic communicator who not only creates excitement and differentiation leading to new business opportunities but also provides inspiring leadership internally. 

If you want to know more, just reach out and ask. Always happy to share and help others.

Ken Shih

IQ-EQ

Senior Manager, IQ-EQ Consultant

Senior Associate, IQ-EQ Consultant

Compliance Associate

Wolfsohn Accounting Services, Inc.

● Prepared and filed Federal and State(s) corporate (1120), partnership (1065), and individual (1040) income tax returns
● Reconciled balance sheet and GL accounts, and reviewing P&L in accordance with cash, GAAP, and tax legislative basis
● Managed business accounts and individual clients payroll taxes, sales taxes, tax planning and other needs
● Assisted with audit preparation and requests including financial audits, workers compensation audits and others

Accounting and Tax Analyst

Pace University - Lubin School of Business

● Graduate Assistant in Accounting department at Lubin School of Business 
● Researched, analyzed, and organized data in Excel which was used in the professor’s academic paper on following topics: - 
•	S&P 500, DJIA 30, and NASDAQ 100 Options Contracts Volatility	
•	ASC 326—Current Expected Credit Loss Standard (CECL)
•	Allowance for Loan and Lease Losses (ALLL) 
● Created and implemented lessons and teaching materials that engaged and encouraged academic growth among a wide variety of undergraduate students from diverse backgrounds
● Assisted professor in research and daily tasks as needed

Graduate Assistant

Constellation Advisers, LLC

● Assisted in the performance of compliance functions, such as 
      	-oversight of personal trading, 
     	-email review, 
     	-social media review, 
      	-political contributions testing,
       	-monitoring of firm trading activities, and
      	-maintaining restricted lists
● Reviewed client and account documentation for anti-money laundering compliance
● Assisted in training of clients' employees and management regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and outside business activities
● Prepared drafts of required regulatory filings, for US and international clients
● Aided in designing and monitoring testing systems to insure the efficacy of controls and surveillance programs for employees
● Evaluated firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
● Performed other ad-hoc compliance-related responsibilities and special projects as needed

Regulatory and Compliance Intern

Vardhman Trading Agency

● Responsible for comprehensive management, production and dispatch, accounts and admin work
● Developed multiple new successful products through strategic innovation and extensive research 
● Introduced a New Method for Product Delivery increasing efficiency and reducing selling and distribution expenses 
● Assisted in formulating strategies (production, marketing, distribution) and business plan

Accounts Management Executive

Angel Broking

● Interned with a group of 15 financial advisers, learning basic concepts of the equity markets
● Researched and gathered information on various company fundamentals
● Participated in prospecting and marketing activities

Summer Intern

Financial regulatory compliance professional working in the compliance and financial services industry at IQ-EQ US., a leading investor services group operating across 24 jurisdictions worldwide. Focuses on proactively managing all aspects of the compliance program specific to the investment manager’s regulatory requirements, whether pursuant to the SEC, FINRA, CFTC/NFA or State regulatory bodies. 

Passionate about looking for innovative and tech-forward ways of running a compliance program. Devoted to fostering a culture of compliance where staff operate from a place of understanding and not from fear.

•	Private Equity, Private Credit and Venture Capital
•	Established Hedge Funds and new Hedge Fund launches
•	Real Estate and Registered Funds
•	Traditional RIAs, Wealth Managers and Multi-Family Offices
•	Commodity Pool Operators and Trading Advisers
•	Broker-Dealers

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Ken Shih

Harsh Bhandari

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