Sonia Liu

• Oversee the Client Identification Program / Rolling Review process • Play the lead role in managing available resources and ensuring that this essential annual regulatory process is completed accurately, efficiently and ahead of schedule. • Reviewing, analyzing and understanding complex account structures to ensure they are set up completely and accurately. • Build strong productive relationships with Business, Legal, Compliance, Technology and the Operations Division globally.

• Reviewing systematic Anti-Money-Laundering (AML) alerts generated from the AML transaction monitoring system and to determine if transactions occurring are valid Anti-Money Laundering risks. Perform research taking into account various AML risk factors and indicators to determine if the alert/case needs to be escalated.

• Performing verification checks that all information collected meet the defined Know Your Client (“KYC”) requirements. Drafting and obtaining approvals for exceptions to policy when necessary. • Experienced with various Investment Products and banking procedures (for example processing client deals in equities, derivatives, funds, FX-linked products; handling account opening documentations; check and release of payments and securities transfer)

• Continuously improve relation with the client to provide an accurate and efficient service • Prepare and conduct plausibility checks of KYC profile • Acquiring new mandates, take care of inquiries, study and help in creating portfolio solutions, client pitches and deals • Daily active interaction with clients, handle payments, securities and foreign exchange transactions, exposure to derivatives, liquidity management and credit related solution

• Organize and lead international ‘sustainability meetings’ • Own and manage sustainable projects e.g. Clean energy and Smart city planning • Initiate and organize fundraising activities • Maintain and seek deeper relationships with donors, individual experts (scholars/scientists), NGO, NPOs and corporations

• Advisory, Produce offers, proactive participate in before and after sales activities • Invent market instruments and evaluate the performance of clients‘ portfolio • Adhere to compliance guidelines, initiate exit clients programs • Optimize pricing models, client segmentation (low clients reduction) and business development strategies (cold calls, client events, market intelligence) • Directly responsible for the P&L of 250 clients portfolio