David Du
Summary
Dynamic finance professional with extensive experience in External Asset Management and Multi-Family Office environments, excelling in client relationship management and business development. Demonstrated success in managing complex client needs while ensuring regulatory compliance, particularly in KYC/AML practices. Skilled in crafting strategic credit proposals and implementing cross-selling strategies to enhance revenue growth. Aiming to leverage expertise to drive further success within a forward-thinking financial institution.
Overview
5
5
years of professional experience
1
1
Certification
Work History
Client Account Manager - Financial Intermediaries
UBS
06.2021 - Current
- Main point of contact for 6 EAMs managing close to 100 client accounts, providing day-to-day support in the absence of Client Advisors on maternity leave.
- Actively cross-sold investment products in collaboration with the EAM investment team, contributing to top-ranked revenue generation for the desk over the past three years.
- Opened 30 client accounts, including the preparation of account opening forms, writing source of wealth corroborations, and responding to Due Diligence officer queries. Specialized in handling complex cases for China-domiciled clients, and source of wealth verification.
- Managed complex credit lending cases, including credit proposals, memo write-ups, credit reviews, and resolution of margin call events.
- Successfully resolved a margin call event involving a USD 12M exposure within 2 days.
- Expertly managed OTC USD 80M line facilities and single-stock lending for high-net-worth clients.
Sales Governance & Quality Executive
UOB
07.2020 - 04.2021
- Supported Relationship Managers (RMs) in addressing AML/CFT-related matters, ensuring compliance with regulatory requirements.
- Conducted training sessions for RMs on account opening, KYC processes, and due diligence procedures.
- Collaborated with the team head to significantly reduce outstanding AML pending items, improving operational efficiency and compliance standards.
Education
Bachelor of Science - Banking And Finance
University of London
Singapore06-2021
Skills
- Client relationship management
- Investment product knowledge
- Account opening procedures
- Credit lending management
- Margin call resolution
- AML compliance
Certification
- CACS Paper 1 and 2
Languages
English
First Language
Chinese (Mandarin)
Proficient (C2)
C2
References
References available upon request.
Timeline
Client Account Manager - Financial Intermediaries
UBS
06.2021 - Current
Sales Governance & Quality Executive
UOB
07.2020 - 04.2021
Bachelor of Science - Banking And Finance
University of London
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