Derivatives and Regulatory Compliance professional with 25 years of finance transformation and business development experience. Specialized in regulatory analysis and response, control and monitoring frameworks as well as process and infrastructure optimization in the context of the Dodd- Frank Act (Title VII and Volcker Rule). Considerable cross-asset derivatives knowledge and hands-on experience in business analysis, financial systems analysis, derivatives valuation and compliance programs execution, foremost in functions related to front-to-back trade management, regulatory reporting, SEF execution, CCP clearing, risk management, compliance monitoring and industry connectivity.
10/2015--Present Business Analyst (Independent Analyst / Professional Alliance) NEW YORK, USA
• Working with Regulatory Compliance and Risk Management Officers to develop appropriate lines of business controls, implementing and updating procedures for trade services including Forward FX Transaction, Interest Rate Swap, and Option. Focusing on Volcker Rule (compliance program management, Risk Mitigation Hedging Exemption, Transacting in US Government Obligations, Quantitative Metrics Reporting and Non-Trading activities control), Dodd-Frank Regulatory Compliance and Reporting (Title VII), Central Clearing and Swap Execution (SEF)
Clients: CHINA MERCHANTS BANK, AMERIPRISE, CHINA CONSTRUCTION BANK, 10/2008--10/2015 Back-Office Consultant-Capital Market (Independent Consultant) HK/NY/FL,USA
• Focused on Dodd-Frank Regulatory Compliance and reporting (Title VII), Swap Data Repository Reporting (CFTC/JFSA), Market and Couterparty, Central Clearing, Swap Execution (SEF), Volcker Rule, Customer Surveillance, Portfolio Reconciliation, industry Connectivity and Process Optimization. Risk Management of equity-based derivatives on behalf of client portfolios of over 60 applications and over 40 third party vendors Clients: AVENUE CAPITAL GROUP, Citi, CMB, TROPICAL FOX PRODUCTIONS, etc. 01/2004-07/2007 Financial Analyst
UTSTARCOM, INC. NJ, USA
• Defined an appropriate internal control framework to meet SOX, audit, and regulatory requirements, executed quarterly SOX testing and tracking issues through resolution, performed Risk/Control Self Assessments, identified control gaps in the environment, and designed effective solutions for remediation.
01/2000-10/2003 Asset Manager /Portfolio Manager
SHANGHAI FORTUNE INVESTMENT SHANGHAI, CHINA
• Managed fixed income portfolios with the equivalent of US$60M assets for institutional clients and achieved superior rate of return, and Specializing in originating and executing strategic M&A transactions as well
07/1988-12/1999 Bank Branch Manager / Bank Account Manager CHINA CONSTRUCTION BANK SHENZHEN, CHINA
• Responsible for the operation, administration,marketing, training, lending and security of a local bank branch; Dealing with everything related to bank accounts and bank products
01/2006-07/2008 MS / MBA in Information Technology Management STEVENS INSTITUTE OF TECHNOLOGY NJ, USA
09/1984-07/1988 BS in Finance
LANZHOU UNIVERSITY OF FINANCE AND ECONOMICS CHINA
PMP Certified USA
New York, NY - risk, procedures, compliance, policies,...
Senior Credit Risk Specialist
New York, NY - risk, credit, various, ibm, international,...
Elizabeth, NJ - aml, sheet, risk, regulatory, framework, reporting,...
OCC DFAST/CCAR Regulatory Compliance, Audit or Senior Business Analyst
New York, NY - pmo, regulatory, investments, capital, foreclosure,...
Jersey City, NJ - fda, regulatory, pharmacy, requirement, various,...
Lead, Operational Risk
New York, NY - risk, audit, model, priyanka, internal, framework,...
Compliance Officer, Registered Options Principal
New York, NY - registered, investment, compliance, regulatory,...