Maintenance Accounts Receivable

Yu Jing Tan

**** **** **, ******** ** ***** 917-***-**** ********@*****.***

PROFESSIONAL EXPERIENCE

Self -Employed Equity Trader July 2011 - Present

• Manage a personal investment portfolio, develop trading strategies largely based upon analysis of macroeconomic data, market

news, social development, apply fundamental and technical studies on targeting companies

Avenue Capital Group New York, NY

Compliance Analyst Feb 2008 – July 2011

• Monitored and detected potential illegal transactions and code of ethics violations within a $11.9B hedge fund of 300 employees,

alerted and escalated compliance issues to Deputy Compliance Officer, responsible for drafting correspondence and documenting

compliance actions, coordinated in compliance training and SEC mock audits, assisted in periodic and annual compliance policies

review and update, revised and updated compliance manual code of ethics, communicated forensic testing results to Chief

Compliance Officer, provided recommendations to improve system of controls

• Conducted forensic tests in "high risk" areas, conducted AML examination on current and potential investors, checked against

OFAC List for suspected activities and affiliations, conducted internal FCPA tests to detect potential briberies and kickbacks

involving foreign government officials, consultants and business affiliations, reviewed and verified billings and activities reports

submitted by foreign legal consultants

• Enforced code of ethics programs, conducted and documented monthly testing on: employee personal trading, information barrier,

email surveillance, maintenance of material nonpublic information, political contribution, gift and entertainment, outside business

activities, consultant's non disclosure agreement, restricted trading list maintenance, and disciplinary events

• In charged of compliance software automation project, acted as liaison person for in/external IT professionals and software vendor,

responsible for the compliance software's daily operation and maintenance issues, contacted broker-dealers and banking institutions

on a strong variety of compliance issues

• Assisted HR Dept's internal investigation on employee complaint, coordinated with external auditor's examination request,

conducted new employee's compliance training, provided Chinese-English translation on foreign court notices, proofread

Compliance Manual's Chinese translation edition, and proofread marketing materials that were written in Chinese

XL Capital Assurance Incorporation

Public Finance Department New York, NY

Surveillance and Research Intern Dec 2007 – Feb 2008

• Mainly focused on debts issued by private universities, assigned to monitor underwriting policies, conducted preliminary risk

assessment in assigned portfolio, drafted surveillance reports, collected and summarized credit evaluations from major rating

agencies on assigned schools, calculated debt service schedules, and conducted cash flow analyses

City of New York Business Integrity Commission

Forensic Auditing Department New York, NY

Forensic Accounting Intern Aug 2007 – Dec 2007

• Assisted auditors in investigation of books and records from subpoenaed individuals and companies, received training in

uncovering dubious and irregular transactions on bank accounts, bank statement and other financial documents

Balber Pickard New York, NY

Staff Accountant Feb 2007 – May 2007

• Managed billing and accounts receivable, prepared weekly accounts receivable reports, generated cash and expense management

reports, entered data/journal entries, assisted in month-end payment reconciliation and other office errands

Yu Jing Tan

2369 62nd St, Brooklyn NY 11204 917-***-**** ********@*****.***

PROFESSIONAL LICENSE

• Series 63 - Uniform Securities Agent State Law Examination

PROFESSIONAL SKILLS

• Microsoft Office (Word, Excel, PowerPoint), Geneva, Bloomberg, SunGard PTA, World-Check Filter, CCH ProSystem fx

• Working knowledge: Anti-Bribery Provisions in Foreign Corrupt Practices Acts (FCPA) of 1977, NYSE Rule 407 (Personal

Securities Transactions for or by Associated Persons), Investment Adviser's Act Rule 206(4)-7

• Native Chinese speaker (read/write in Cantonese and Mandarin), strong verbal/written communication skills

EDUCATION

Stony Brook University Dec 2006, GPA 3.42

• B.S. Business Management –Accounting Concentration

• B.A. Psychology

Academic Achievements: 4 times recipient for the Dean’s List Award (GPA above 3.50)

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