Steven Chan:

• Based in Macau, reported to Senior Vice President, Centre of Excellence (COE). Responsible for all Employee Relations issues from providing advice to HRBPs to address general employee issues to handle complex and sensitive employee/union issues directly and reported findings, recommendations to top management for resolutions. • Conducted and managed sensitive and confidential investigations. • Reviewed and enhanced HR policies and SOPs (standard operating procedures). • Developed disciplinary, safety/health operating procedures for people managers as their guide book for reference in handling day-to-day complaints/grievance and workplace safety issues. • Collaborated closely with various COE functions including Compensation & Benefits, Organisation Training & Development, Internal Communications to develop activities and programs to strengthen manager awareness to regulatory and internal control requirements. • Developed and presented monthly reports to Disciplinary Committee and senior HR Business Partner Leads on trends and demographics analysis on employee issues.

(Contract) • Led a team of 3 Human Resources Business Partner in the region to support the Investment Management and Global Markets business in APAC as an all rounded generalist to cover Talent Acquisition, Compensation and Benefits, Employee Relations, as well as day-to-day HR operational issues. • Collaborated with senior business stakeholders in the region to complete the total compensation planning strategy including the job architecture realignment exercise; performance review collaboration discussions; and facilitated the annual incentive/merit review exercise through close partnership with global HRBPs and regional business heads. • As project lead for M&A activities in Hong Kong from communications, negotiations, due diligence analysis, transfer logistics to on boarding. • Contributed to the HR Service Centre implementation processes through detail review of HR operational procedures and work flow together with various HR specialist functions.

Took up dual role as Country HR Business Partner Hong Kong to service the Global Markets, Asset Management and Corporate Support Groups including Risk & Compliance, Legal, Finance, IT plus continue leading the Employee Relations and Policy Services function across the APAC region.

Taiwan, Japan, Korea, Singapore, and Australia. Promoted to a regional role. Reported functionally to Senior Vice President, Global Head of Employee Relations in Boston. Managed a matrix team of 5 AVPs in APAC. Responsible for HR polices, HR risk & governance, regulatory reporting, employee issues and engagement, management of grievances, disciplinary and performance issues. As subject expert to collaborate closely with HRBPs and HR specialists across the region to deliver robust employee relations and risk & governance framework. Conducted thorough investigations, handled and resolved employee relation matters escalated by HRBPs or HR Service Centre. Analysed and addressed root cause, identified trends and made recommendations for change in policies and Practices.

Reported to Vice President, Head of Human Resources for North Asia. Be the Country HRBP for Hong Kong as strategic partner to support all business functions across Investment Services, Asset Management, Global Markets, Risk & Compliance and Corporate Support Groups. Collaborated with senior business leaders to meet business goals, succession planning, talent acquisition & development and engagement. Supported business merger & acquisitions to ensure smooth transformation of work force. Worked closely with respective CoE teams throughout the year; including Year-end Process, Talent Acquisition & Development, Global Mobility and implementation of projects. Advised and counselled on a broad range of HR matters, issues and challenges faced by senior leaders and people managers Strategies Planning and Implementation • Anticipated consequences and trends to translate business strategy into people strategy. • Structured and executed redeployment strategy in relocating the work force by phases, project included employee communications, talent planning, career counselling, process re-engineering, operations outsourcing, reduction in force and manager coaching. • Executed Shared Services strategy for Greater China. Reviewed the HR Service Centre ticket processing processes and Q&A documentations to enhance the service delivery. Represented HR in the Risk and Governance Committee to report performance issues and control measures implemented for external HR services vendors. • Built relationships at all levels to navigate and influence across the organizational matrix. • As strategic partner to business leads to determine hiring strategies, formulated succession planning from identifying talents to structuring development plans and retention tools. Experience in Employee Relations, Change Management, Talent Acquisition, HR Policy Services and Governance, Regulatory Reporting • Managed a matrix team of 5 AVPs in the region to conduct fact-based investigation and analysis to resolve ER cases from performance improvement advice to managing complex ER matters to drive closing resolutions. • Introduced Better People Manager programs as a long term employee engagement strategic plan to enhance risk excellence in work environment and to increase people manager awareness on regulatory requirements and be self-equipped for employee issues as a first line people manager. • Formulated employee engagement plans and instituted implementation activities to build an engaged workforce through employee focus group discussions to facilitate two ways communication. As the advisor to Staff Club Committee to drive people engagement and well-being activities to increase engagement index, productivity, retention of talents and to promote diversity and corporate citizenship culture. • As HR project lead to execute and manage change management projects to transfer employees between different employment entities which involved comprehensive employee communication planning and great collaboration with various business groups to accommodate with their operational and regulatory requirements. • As a project champion on HR outsourcing strategy, I responsible for driving the review and update on policy procedures among various HR functions across the region, streamlined workflow and identified control points to increase effectiveness and to strengthen the governance. Closely collaborated with HKMA for obtaining approval to outsource certain HR process to external service providers. • Managed talent acquisition cycle through close collaboration with the contractual recruitment team to identify sourcing channels, conduct selection/interviewing and on-boarding. • Reviewed the on-boarding processes and documentations with the talent acquisition team to enhance the governance control. • Coached line managers on employee issues and to ensure employees are provided with fair work environment consistent with corporate policy, company culture, applicable laws and regulations. • Managed reduction in force exercise in Asia including consultations with managers, logistics arrangement, counselling and termination meetings. • Worked closely with Corporate Risk & Governance Office as their extended arms for APAC to collaborate cross-functionally to promote First Line of Defence culture among all employees. • Strengthened the First Line of Defence structure within in HR through process review with COE to remediate the control gaps and reinforced HR policies/practices to streamline operations and implement better control to ensure governance and risk excellence. Responsible for regulatory reporting and be the HR contact point for regulators (HKMA & SFC) for their enquires and surveys. • Responsible for policies development and maintenances to ensure they are consistent and in line with best practice and that Employee Handbooks and policies are up to date in compliance with regulatory requirements.

Reported to Head of Human Resources, Asia Pacific to support setting up the HR Solution Centre to stream line the HR administration function and executed the business expansion plan to recruit key business managers including Client Relations Lead, Sales & Marketing Lead, Fund Accounting & Operations Lead, Compliance Lead, Internal Audit Lead etc. Successfully recruited over 10 senior key positions in 6 months.

May 2000 - Jan 2006 Assistant Vice President, Human Resources Advisor • Reported to Senior Vice President, Regional Human Resources Manager in Singapore. • Country HR responsibilities for Hong Kong as HR Generalist for major back office functions including Global Client Services Group, Audit & Finance, Supply Chain Management Unit, Middle Office Processing and Control Group. • Acted as the designated Regional HR Generalist for Asia Technology Group offering day to day interaction and advice to business leaders in Asia. • Provided thoughtful and effective coaching to senior leader and people managers on performance management, structural and staffing issues, including compensation, organization design. • Responsible for the complete end to end recruitment process from approval to on-boarding. Organised and conducted campus recruitment activities in major universities in HK and China. • Collaborated with the business leaders to understand their HR needs and provided effective HR solutions and interventions. Implemented HR initiatives to support the business unit's growth such as conducted workshops to employees to explain the pay for performance philosophy and how it links to their compensation, facilitated team building activates to boost team dynamics and communications. • Engaged staff members on employee engagement activities through active participation in the Staff Club Committee to plan, organize and speak at company events. • Collaborated with the Provident Fund Consultative Committee to oversee the performance of the Fund Manager and Scheme Administrator for the Bank's Retirement Scheme. Implemented MPF and Top-up Retirement Plan for Hong Kong to meet with the regulatory requirements.

(Contract) • Reported to Director, Organisation & Staffing - Asia Pacific. • Assisted in implementing compensation programs across all GE Businesses in Asia.

• Reported to Director, Human Resources & Administration. • Participated in setting up job evaluation framework based on modified Hay point system. • Evaluated jobs based on information collected through job specification questionnaire to establish salary ranges and grading structures. • Identified staffing needs and monitored recruitment activities. • Managed employee relations activities.

(Contract) • Reported to Director - Compensation & Benefits. • Retained as a fixed term contractual specialist for three months to provide analytical support and recommendations on compensation and benefits policy. • Structured performance bonus models based on individual performance objectives and targeted corporate operating income. • Prepared compensation policy manual to communicate the new reward system.

• Reported to Human Resources Director - Asia. • Responsible for the overall human resources function of Hong Kong operations and work closely with Human Resources Director - Asia to support other offices in Asia in the area of compensation and benefits, employee development, recruitment and policy development. • Conducted regional compensation and benefit analysis in preparation for the annual salary review recommendations and implemented adjustments to ensure market competitiveness. • Set up local medical plans and human resources policies for other offices in Asia. • Consolidated benefit policies with other group subsidiaries for the purpose of company merger. • Worked with department heads and corporate head office to identify recruitment needs and monitored the recruitment process. • Identified training needs and skill levels required for succession planning purpose.

• Reported to Director of Human Resources. • Supervised a team of four staff responsible for compensation and benefits, policy development and administration for all subsidiaries including investment banking, private banking and fund management business group. • Worked with consultants, orchestrated the project team and successfully implemented new retirement plan from defined benefit plan to defined contribution plan with employee choice of investment options. • Directed employee benefits review projects and prepared recommendations for improvement to the corporate management. • Completed salary surveys and annual salary and bonus review of Asia Pacific region. • Coordinated the redundancy exercise of Hong Kong, Manila, Singapore and Bangkok office as a result of company closure to ensure termination packages are in compliance with the local country legal requirements. • As an internal consultant to line management to advised on a variety of human resources issues. • Reviewed human resources policies and consolidated them to formulate employee handbook. • Harmonised human resources policies between Barclays Bank and Barclays-BZW.

• Responsible for compensation and benefits policy development and administration of Asia Pacific region. • Reported to Vice President, Human Resources Asia Pacific. • Coordinated regional bonus review and submitted recommendations for Asia Pacific region on salary adjustments. • Consolidated medical plans and introduced contributory optional top up plan to allow more comprehensive coverage. • Directed the process for retirement plan registration with ORSO including Hong Kong and offshore retirement schemes. • Streamlined office procedures including benefits administration and consolidated management information reports.

• Reported to a Regional Human Resources Manager in Singapore. • Responsible for expatriate administration for Hong Kong and the PRC • Managed shipment logistics.

• Reported to Human Resources Manager. • As a generalist responsible for all human resources management activities covering compensation and benefits, recruitment, training and employee relations. • Acted as Vice-Chairman to coordinate project on job evaluation and analysis based on Hay system. • Submitted salary proposals to recommend salary ranges and adjustment percentages • Implemented and monitored the performance appraisal system based on competency modelling. • Conducted orientations on the appraisal system. • Conducted campus recruitment at major universities in Hong Kong. • Prepared and conducted salary and benefits surveys among the oil and chemical industries. • Revised medical coverage and housing assistance scheme to improve employee benefits. • Conducted interviews and organised recruitment campaign in the PRC to recruit local nationals

• Responsible for providing analytical support including market research and statistical analysis for experienced consultants in a variety of consulting projects. • Reported to Human Resources Practice Director. • Researched employment practices in major provinces of the PRC in preparation for designing survey questionnaires. • Conducted compensation and benefits surveys in Hong Kong, PRC and Taiwan from designing the questionnaire to compiling of final reports. • Worked with management team to produce a comprehensive system on performance and reward management process. • Assisted in revising salary ranges to reconcile with business objectives. • Participated in a competency profiling study to identify the critical mix of skills, behaviours and employee attitudes necessary for new managerial competency requirements. • Conducted focus interviews for employee opinion survey to redefine the mission statement and values. • Prepared comparative studies on compensation and benefit provisions for expatriate with local senior executives on housing assistance and variable cash compensation. • Provided recommendations to ensure equitable and competitive total remuneration.

• Prepared and conducted in-house training programs and evaluated external programs. • Prepared visual aids and written materials for training in cooperation with independent training consultants.