MICHELLE LIM
Singapore
Summary
An experienced CFA professional with 20 years in Fund Management Operations, and Compliance/ Risk control environment. Having 11 years of solid management experience, and has proven qualities in leadership, build effective teams, strong relationship management skills, critical thinking, sound decision making abilities to manage issues and projects.
Managerial professional with proven record of streamlining processes and leading high-performing teams. Known for strong analytical skills and commitment to achieving results. Teams rely on collaborative leadership and adaptability to changing needs.
Overview
29
29
years of professional experience
Work History
Manager, Investment Compliance
Franklin Templeton Investments
05.2016 - Current
- Manage a team of Analysts in Singapore/Hong Kong/India, supporting Asian domiciled clients/funds;
- Supervised the monitoring of investment compliance (pre and post trades) and ensuring adherence to client mandate, corporate investment policies and regulatory requirements
- Such as good knowledge on HK MPF and SFC regulations
- Provides guidance on issues and makes decision to attain sustainable resolution with stakeholders
- Lead team on new accounts take-on, ensure all aspects of investment compliance risks are mitigated through guideline interpretation, automation of guidelines into Charles River and manual solution
- Monitors a wide range of financial instruments and products, like equities, fixed income, absolute return, derivatives (currency forwards, IRS, credit default swaps etc)
- Appraised process for efficiency, in an effort of continuous quality improvement
- Constantly seek opportunity to propose/make change to enhance its effectiveness to keep the process relevant in a changing business environment
- Foster effective alliances with key stakeholders (i.e Legal/Compliance, Portfolio Managers, Trading, Sales/Client Services etc), which allows engagement and influence to derive strategic business solutions
- Manage department’s new hires and team’s performance evaluation, including interview and training
- Proven to build effective and competent team - to engage, empower and develop people by identifying opportunities, and set succession plans to build new generation leaders
- Successfully lead team to on-board several new client mandates with complex guidelines requirements
- The team has received acknowledgement from other business units like Sales and Portfolio Managers
- Led cross-functional teams to drive project success and improve operational efficiency.
- Enhanced team productivity by implementing effective management strategies.
- Developed strategic plans to meet organizational goals.
- Managed daily operations to ensure high-quality service delivery.
- Supervised staff to maintain high performance standards.
- Improved client satisfaction through effective communication and problem-solving.
- Coordinated team efforts for successful project completion.
- Streamlined workflows to enhance organizational efficiency.
- Strengthened team collaboration by fostering an inclusive work environment.
- Identified growth opportunities to expand market presence.
- Cultivated strong client relationships for sustained business growth.
- Optimized resource allocation to maximize productivity and minimize costs.
- Managed and motivated employees to be productive and engaged in work.
- Developed a strong company culture focused on employee engagement, collaboration, and continuous learning opportunities.
- Built high-performing teams through effective recruitment, onboarding, and talent development initiatives.
- Streamlined workflows by identifying bottlenecks in existing systems and implementing appropriate solutions.
- Evaluated employee performance and conveyed constructive feedback to improve skills.
- Defined clear targets and objectives and communicated to other team members.
Manager, Global Investment Control (Asset Management)
Capital Group
10.2006 - 11.2014
- Manage 2 functional teams in Equity Global Market Transactions and Corporate Actions;
- Order management - support global portfolio managers in management of equity orders and cash
- Implement trades into portfolio ensuring compliance to client, regulatory and internal guidelines/policies
- Corporate action – Gather and review mandatory and voluntary events, and facilitate instructions to operations team
- Investment/ Fund compliance monitoring and oversight
- Ensure all transactions meets regulatory and client investment guidelines/restrictions
- Address pre-trade compliance issues (e.g
- 144A/Reg S eligibility), and month-end compliance review to ensure adherence to guidelines
- Global management of department’s resources and initiatives;
- Promote a global approach on processes to achieve efficiency and consistency with peer managers in Singapore/US/London
- Establish, implement and monitor team's goals and objectives, that are aligned to department's business strategies
- Champion and promote a culture of risk management in global team, by implementing framework to review risks, root cause analysis and use of risk metrics
- Influenced managers globally to adopt framework and presented to senior management on risk methodology
- This has helped to identify risky areas and to focus on process improvement
- Oversee complex transactions, special assignments and issues - provide on-going leadership to the completion and resolution of assignments/issues
- Manage incident reporting event/process and work with legal/operational risk to establish resolution
- Creative and strategic thinking - conceptualized risk/quality management framework, and played a key role to set up a global risk management team within the department
- Effectively managed changes as result of changes in organizational structures and business directions
- Led with positive attitude to engage and influence others
Supervisor, Fund Accounting & Portfolio Administration
Franklin Templeton Investments
04.2004 - 10.2006
- Provide oversight on outsourced service provider to ensure daily fund accounting functions (i.e NAV calculations and reconciliations) are executed accurately and timely, for Singapore and Hong Kong based mutual funds
- Oversee insourced activities such as calculation of dividend distribution rates and financial ratios, preparation of financial reports for mutual funds and periodic clients' reports for institution business
- Key liaison with both internal (Sales Marketing, Legal & Compliance) and external parties (Trustee, Custodian and Auditors)
- Review and establish operational process/workflow to support new product or business initiatives
- Successfully launched new Singapore and Hong Kong mutual funds, and new institutional accounts, with regards to the operational aspects
- Established and streamlined operational procedures, which improve work efficiency and controls
Senior Auditor, Internal Audit
DBS Bank
04.2002 - 04.2004
- Performed internal audit functions using a risk-based audit approach
- Contribute to the improvement of risk management, control process and governance systems of the Bank by evaluating exposures to key risks areas across business activities
- Areas of expertise in Asset Management, Securities, Private Banking, Unit Trust Operations and Bancassurance arms of the Bank
Business Administrator, Middle Office Operations
Merrill Lynch Investment Managers
07.2000 - 12.2001
- Supervised a team of Fund Administrators in the middle office operations, supporting the Investment team on cash and stock management, with familiarity of Asia-Pacific markets
- Successfully developed, implemented and tested in-house Order Management System, to replace manual process
- Devised and established compliance program for monitoring of investment, operations and dealing process to ensure compliance with applicable law and regulatory requirements
Audit Senior - External Audit
KPMG
12.1997 - 06.2000
- Supervised audit team in various aspect of audit functions, from developing audit plans and strategies, evaluate clients’ business processes and proposed control recommendations, implement audit findings to preparation of final financial statements
Audit Senior - External Audit
Loke Lum & Partners
03.1996 - 10.1997
- Responsible for various aspects of audit functions and preparation of financial statements in accordance to Singapore GAAP
Education
Bachelor of Commerce - Accounting and Finance Major, Law minor
University of Western Australia
01.1995
Skills
- Project management
- Team leadership
- Strategic planning
- Strategic Resource Allocation
- Effective Conflict Resolution
- Strategic Decision Making
- Continuous Process Refinement
- Risk Mitigation Strategies
- Stakeholder engagement
Personal Information
Nationality: Singaporean
Languages
English
Mandarin
Professional Memberships
- CPA Australia, Certified Practising Accountant (CPA), 2000
- CFA Institute, Chartered Financial Analyst (CFA), 2003
Timeline
Manager, Investment Compliance
Franklin Templeton Investments
05.2016 - Current
Manager, Global Investment Control (Asset Management)
Capital Group
10.2006 - 11.2014
Supervisor, Fund Accounting & Portfolio Administration
Franklin Templeton Investments
04.2004 - 10.2006
Senior Auditor, Internal Audit
DBS Bank
04.2002 - 04.2004
Business Administrator, Middle Office Operations
Merrill Lynch Investment Managers
07.2000 - 12.2001
Audit Senior - External Audit
KPMG
12.1997 - 06.2000
Audit Senior - External Audit
Loke Lum & Partners
03.1996 - 10.1997
Bachelor of Commerce - Accounting and Finance Major, Law minor
University of Western Australia
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