YUTING HE

SUMMARY

• Finance and compliance professional with extensive experience in corporate banking, compliance, economic

research, business development and client relationship gained in highly competitive environments

• Professional experience in compliance, Anti-Money Laundering (AML), Personal Trading Control Center, Risk

Assessment Matrix and Regulatory Updates; Advanced knowledge in AML, OFAC, KYC, PEP and CRD

• Proficient with MS Excel including Macro, pivot table, detailed logic, data tables, filters, and Vlookup, MS

Access, PowerPoint, Bloomberg Terminal, SQL, SAS, VBA and STATA

• Trilingual in English, Mandarin and Cantonese; Master’s degree in Applied Economics from Georgetown University

EXPERIENCE

PERMAL GROUP – New York, NY April 2014 to June

2014

A leading global alternative asset management company that manages approximately $22 billion

Compliance Analyst

• Conducted monthly Compliance Monitoring Program (including AML, Code of Ethics, employee certifications,

Gifts and Entertainment, Form ADV, Trade Errors and more) to perform compliance tests

• Processed and analyzed Code of Ethics which includes new employee complying, certification / form History,

personal trading reporting, outside business activities and external board memberships

• Reviewed and verified employees’ personal trading and compliance packages in Personal Trading Control Center

• Assisted with VP of Compliance on Global Compliance Examination Document Request by conducting list of all client accounts for each portfolio manager and list of accounts opened/closed

• Composed Compliance Risk Assessment Matrix to identify risk details, policies and provide compliance solutions

BANK OF EAST ASIA – Guangzhou, China

The largest independent local bank in Hong Kong, with total consolidated assets of $103.9 billion

Banking Internship – Marketing Department June 2012 to September

2012

• Analyzed credit risk by evaluating corporations’ balance sheets, income statements and cash flow statements

• Managed client relationships and communicated with Risk Department on customizing loans and credit limits

• Performed extensive due diligence – valuation exercises, on-site visits and follow-up materials to evaluate

potential corporate clients

Treasury Internship – Treasury Department June 2011 to September

2011

•

Developed liquidity forecast scenarios under assumptions and calculated liquidity ratios to identify risks

• Reconciled corporations’ interest payments at maturity and created intraday report of Inter-Bank offered rates

• Engaged in fund transfer, foreign exchange, liaised with Settlement Department to ensure accuracy of transactions

EDUCATION

Georgetown University – Washington, DC August 2013

Master of Arts Degree in Applied Eco nom ics

• GRE: 1460/1600; GRE Math: 780/800

• Relevant Coursework: Financial Economics, International Finance, Program Evaluation, Data Analyze

• Summer Research Intern at Center for International Private Enterprise (CIPE) - Property Market Scorecard Project

University o f M innesota, Twin C ities – Minneapolis, Minnesota May

2012

Bachelor of Science Degree in M athematics - Actuarial Science

• Double Minors in Management and Economic Theory

• GPA: 3.3/4.0; Dean’s list 2009

• Relevant Coursework: Financial Statement Analysis, Actuarial Mathematics, Financial Mathematics,

Probabilities, Stochastic Process, Management Accounting, Investments, Options, Futures & Derivatives

SKILLS & CERTIFICATIONS

Languages: Fluent in English, Native in Cantonese and Mandarin (Chinese)

Computer: MS Office, Excel, Pivot Table, V-lookups, Macro, Power Point, Matlab, SAS, STATA, C++,

SQL, VBA, Bloomberg (FX, FI, Equity, Commodity), WordPress, Mail Chimp

Certifications: Chartered Financial Analyst (CFA) Level I Candidate, December 2014 Expected

Relevant Experience: Marketing Editor at Career Pro USA (Best Editor in 2013), Market Research Analyst at

sCoolTV

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