LUI (DORENE) TANG

• Lead and manage a team of wealth management centre (WMC) operations staff to provide effective operational, sales & compliance support in the control function of the team
• Control keeper of the WMC, ensuring it fully complies with all applicable legislation related to business operations (eg. operating standards, internal policies and local regulations)
• Ensure WMC operational process/procedures (PnPs) and compliance are properly understood by all staff with appropriate controls in place at all times
• Perform all required 'checker' functions in deposit, operation and investment space
• Work with the Area Manager to mutually support and strengthen WMC controls and compliance
• Responsible for implementing timely corrective actions if breaches/ incidents located
• Ensure customer complaints are properly escalated and resolved within a standard timeframe
• Keep up to date with products, operations and legal compliance knowledge

Achievements

• 'Clean' audit result of WMC at all times
• A team member has been awarded 'Best Service Relationship Manager' in 1st half of 2023 across the network
• 3 customer compliments received in 1st half of 2023

• Prepare documentations for deposits, investments and performance updates
• Develop and maintain strong client relationships and build client loyalty through regular communication with clients
• Arrange/ execute FX transactions
• Perform ‘checker’ functions when required
• Liaise closely with internal stakeholders to have problems solved in a timely manner
• Comply with applicable legislations & AML policies
• Review due diligence materials
• Keep up to date with products, bank system and procedures & policies

Achievements

• Won the 'Best Service Relationship Manager' award in 2017

• Create bespoke experience on travel/lifestyle for our high-profile customers
• Handle challenging requests via incoming calls and emails, while meeting tight deadlines

Achievements

• Maintained a KPI of 200% consistently
• Being selected to be the ambassador in Shanghai to support the new office and a growing team there

• Establish and maintain effective relationships with new and existing customers, provide recommendations based on needs, and set up suitable products and services
• Handle customers' questions, comments and complaints
• Manage daily operations to ensure the efficient and effective delivery of services to meet the needs of a diverse range of customers
• Adhere to the bank’s policies and ensure the integrity of information
• Lead a team of 3 during the absence of branch manager

Achievements

• Won the ‘Best Business Outcome’ award of Sydney Region in 2011
• Achieved 120% or above for individual sales target