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Legal Assistant Management

Jersey City, New Jersey, 07310, United States
May 18, 2018

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*** *********** ******** **, ****** City, NJ 07310 857-***-**** EDUCATION


Master of Laws Specialized in Banking & Finance May 2017 Coursework: Banking Structure and Regulations Commercial Lending Corporations Bankruptcy Secured Transactions Pooled Funds Consumer Financial Service NANKAI UNIVERSITY, SCHOOL OF LAW Tianjin, CH

Bachelor of Laws Awarded Outstanding Student Leader June 2014 PROFESSIONAL EXPERIENCE


Risk Management & Global Wealth Management (Rotational Analyst) September 2017 - Present Risk Management

• Assisted in FINRA Risk Based Audit, evaluated Firm’s compliance with Written Supervisory Procedures and adequacy of controls

• Collaborated with various levels of management on audit findings, recommendations, and corrective action plans

• Used transactional and customer records and publicly-available information, to identify suspicious or unusual activity

• Reviewed FinCEN reports, prepared SAR reports and verified customers in OFAC

• Performed detailed analyses to detect patterns, “red flags”, trends and schemes in transactions across multiple business lines Global Wealth Management

• Updated risk tolerance, investment objective and investment time horizon for client profiles

• Obtained marketing collateral and prospectus from 30+fund companies including BlackRock, and Fidelity

• Conducted research on portfolios under Sanlam Global Investment Plan and presented analysis to clients

• Prepared portfolio analytics and presentation materials for high net-worth and family office clients and prospects BEIJING GUANTENG LAW FIRM Beijing, CH

Legal Assistant July 2014 - June 2015

• Implemented and drafted a Governance, Risk and Compliance Policy and Manual identifying controls, testing and reporting

• Reviewed and edited employment agreements, terms and conditions and service agreements

• Investigated, identified and monitored potential regulatory and statutory risks of transactions, drafted due diligence reports, worksheets and projected profitability statements by gathering and analyzing client and industry data

• Handled heavy case load and assisted with all aspects of the litigation cycle including legal research, factual investigation, case records review, document management and trial preparation CHIFENG LEGAL AID CENTER Inner Mongolia, CH

Legal Assistant June 2013 - August 2013

• Provided legal advice for cases involved in civil and administrative litigation, including counseling on proper procedure, analyzed success rate under precedent cases, and settlement

• Researched public records and prepared discovery requests and responses

• Performed client interviews, case intake and advised clients of potential civil remedies including mediation or civil trial DISTRICT PROCURATORATE Tianjin, CH

Legal Intern June 2012 - August 2012

• Assisted in conducting client interviews to validate client’s risk profile, financial goals, investment preferences and overall individual needs; Designed investment portfolios and financial plans meeting client investment objectives and suitability

• Researched and drafted motions and memorandums of law on a variety of civil litigation matters

• Attended motion hearings, case management conferences, pre-trial conferences and managed the deadlines for which the case must reach a resolution


Vice President, Nankai University Student Union Tianjin, CH

• Organized a cultural exchange platform with a series of activities to engage students throughout the semester Researcher, Current Developments and Issues of Financial Services Regulation Boston, MA

• Utilized quantitate and qualitative analysis to evaluate the regulations with respect to Fintech transactions including online payments, peer-to-peer lending and consumer finance Researcher, Status Quo and Trend Analysis of Micro-Credit Companies Boston, MA

• Conducted comprehensive sector analysis on China’s major online platforms for microfinancing LICENSING, SKILLS & INTERESTS

Licensing: Series 7 General Securities Exam in Progress Languages: English (Fluent) Mandarin (Native)

Technical: MS Office Suite Bloomberg FactSet

Interests: Hiking Music Ballroom Dancing Movie

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