Management Financial

SHARON YU

** ******** ****** • Foothill Ranch, California 92610 • 805-***-****

***********@*****.***

Accounting professional with seven years of combined experience in finance, general

accounting, client relations, banking, and investment management;

recently completed Master of Accounting and Financial Management degree.

SUMMARY OF QUALIFICATIONS

• M.A.F.M.; B.B.A.

• CPA Candidate

• AREAS OF EXPERTISE:

Financial analysis Tax preparation (U.S. corporate Accounting

GAAP/IFRS/GAAS Treasury operations

and individual)

General ledger/journal entries

Financial reporting SEC regulations

Account reconciliation

Cash flow management Budgeting

Securities transactions

Fixed assets Accruals

• Strong skills in managing multiple priorities concurrently, meeting deadlines in high-

pressure environments, and resolving problems with innovative solutions; detail-oriented,

persistent, and self-motivated; proven ability to build collaborative client relationships.

• COMPUTER PROFICIENCIES: Microsoft Excel, Word, PowerPoint, and Outlook; QuickBooks

Premier.

PROFESSIONAL EXPERIENCE

UBS FINANCIAL SERVICES, INC. April 2007 – September 2010

Global firm that provides financial services to private, corporate, and institutional clients; operates major financial

centers and offices in 50+ countries; more than 65,000 employees worldwide.

REGISTERED CLIENT SERVICE ASSOCIATE (Newport Beach, CA) May 2008-September 2010

• Monitored margin activities in clients’ accounts to ensure trade compliance with

internal/external policies and regulatory requirements governing use of funds as collateral.

• Analyzed trades to ensure proper booking and to make any needed adjustments.

• Executed daily corporate actions (e.g., dividend declaration) to support mandatory and

voluntary events (such as tender offers) on client accounts.

• Administered 1-2 securities transactions and funds transfers daily and set up 1-2 new accounts

per week; maintained accounts in the UBS system.

• Engaged in client relations activities that strengthened relationships and contributed to growing

the business; interfaced with clients, anticipated their needs, assisted with problem resolution,

and followed through to ensure exceptional service.

• Interacted with insurance companies regarding annuity and life insurance policies contained in

clients’ accounts and to discuss potential business with internal wholesalers; interacted with

mutual fund companies upon broker’s request to pursue certain mutual funds, fund performance,

and trading strategies with wholesalers.

BRANCH SERVICE ASSOCIATE (Westlake Village, CA) April 2007-April 2008

• Oversaw internal controls and ensured compliance with SEC and other regulatory standards

through semi-annual audits (one internal and one conducted by the SEC); maintained current

knowledge of SEC trade regulations, as well as risk awareness, and shared knowledge with

colleagues.

• Processed trades and financial advisors’ trade corrections; supported brokers with account

opening procedures and maintaining accounts; approved ACAT (Automatic Customer Account

Transfer) transfers from outside financial institutions.

• Performed such treasury operations activities as managing daily cash flow and cashiering credit

& debit accounts; approved disbursements and journal entries; processed client-requested wire

transactions.

• Interacted with cross-functional team members (e.g., financial advisors, operations,

management) to perform administrative duties and deliver client services.

• Maintained daily logs of branch’s operational metrics and monitored accuracy of reports

required for internal audits.

BANK OF AMERICA / Agoura Hills, CA September 2005 – March 2007

Global financial services company that provides banking, financial services, and investment services to private,

corporate, and institutional clients; operations in more than 150 countries.

SENIOR TELLER

• Processed customer transactions, including deposits, withdrawals, check cashing, loan

payments, and money order or cashier’s check purchases.

• Provided customers with information about bank products, promoted special offers, and referred

them to other bank personnel to meet their financial needs (e.g., mortgage lender, investment

officer, business banker).

• Ordered daily supply of cash from the Federal Reserve, received and verified cash orders, and

handled incoming phone calls.

• Trained and coached newly-hired tellers.

EDUCATION AND TRAINING

MASTER OF ACCOUNTING AND FINANCIAL MANAGEMENT August 2011

DEVRY UNIVERSITY/KELLER GRADUATE SCHOOL OF MANAGEMENT Irvine, California

Graduated with 3.9 GPA

BACHELOR OF BUSINESS ADMINISTRATION - FINANCE 2006

CALIFORNIA STATE UNIVERSITY Northridge, California

PROFESSIONAL DEVELOPMENT

• Intern – WORLD FINANCIAL GROUP – San Gabriel, CA – 2004-2005 (participated in business

expansion activities, marketing, and sales of financial products).

• Specialized Studies Program in Investment Management – UC Irvine Extension – Irvine, CA – 2009.

• Scheduled for CPA exam August 2011.

• PROFESSIONAL LICENSES: FINRA Series 7 (General Securities Rep.) and Series 66 (Uniform

Combined State Law).

PROFESSIONAL AFFILIATIONS

American Institute of Certified Public Accountants (AICPA) – 2010-Present

California Society of CPAs (CalCPA) – 2010-Present

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