Compliance Analyst Finance graduate from UBC Sauder with Honors

Sabrina Zhu

UBC Sauder Finance Graduate Toronto (Willing to relocate across Canada)

+1-778-***-**** *************@*****.*** linkedin.com/in/s-zhu EDUCATION

Sauder School of Business, University of British Columbia Graduation Date: Apr 30, 2024 Bachelor of Commerce with Honors - Finance Option, Business Analysis Concentration

● Relevant Courses: Applied Financial Market, Investment Theory, Corporate Finance, International Business, Financial Accounting

● Awards: Trek Excellence Scholarship (ranked top 5% in faculty), Dean's Honor List (average of 80% or better).

● Certificates: CSC (Canadian Security Course), CFA Level 1 Candidate, Bloomberg Market Concept EXPERIENCE

Investment and Trading Compliance Intern, HOOPP (Healthcare of Ontario Pension Plan) – Toronto, ON Sep 2023 – Dec 2023

● Spearheaded the development of monthly sanctions monitoring procedures, conducted research on US, Canada, EU, and UK sanction rules, and developed an in-house Python solution. Achieved annual department savings of $100k on redundant external software, and successfully prevented the company from incurring trading or reputational risks related to sanctioned entities.

● Managed ongoing update of over 500 entries of Restricted List for securities listings, collaborated closely with the legal department to ensure each entry's accuracy and consistency.

● Utilized compliance reporting tool for daily compliance monitoring positions and transactions, identified risks in areas like ESMA and FCA Short Selling, Restricted List transactions, ESG monitoring, Commodities Position Limits, and Carbon Credit Positioning to ensure 0% compliance breaches during tenure.

Investment Compliance Intern, BCI (British Columbia Investment Management Corporation) – Victoria, BC Sep 2022 – Apr 2023

● Researched and analyzed FINRA Rule 2242, SEC cases pertaining to front-running, and exemptions for personal trading accounts at BCI. Presented findings to department and expertly fielded multiple inquiries from the Vice President.

● Reviewed SIPP (Statement of Investment Policy and Procedure) quarterly report and audited over 20 investment memos for clients, monitored segregated accounts, and created 46 client checklists that are aligned with the CPD (Consolidated Product Description).

● Surveyed BCI’s daily Illiquid transactions, Canadian takeover bids and completed monthly portfolio reviews, whitelist weekly check to ensure all transactions and people with MNPIs are in compliant. Corporate Finance Intern, Shangri-La Group — Shenyang, China Jun 2021 – Aug 2021

● Prepared the financial statements with a team of 8 people; Independently produced cost of sales table and used data visualization tools to visually illustrate the magnitude of cost changes and analyzed the reasons.

● Prepared tax information preparation with financial manager, invoice certification and declaration, updated fixed asset cards, and handled banking transactions; Organized over 100 insurance policies, 100 contracts and 3,000 invoices. Investment Manager Assistant Intern, Zheshang Capital Co., Ltd. — Shenyang, China May 2020 – Aug 2020

● Assisted investment manager to conduct in-person due diligence report with the investing company.

● Analysed and conducted research financial statements of the investing company including Cash Flow Statements, Income Statement and Balance Sheet.

● Collecting industry information for investing companies and make predictions for the company’s futures. Investment Advisor Assistant Intern, Cinda Securities Co., Ltd. — Shenyang, China May 2019 – Aug 2019

● Collaborated with secondary market investment analysts to collect macroeconomy information, and wrote the macro analysis part in a investment analysis report.

● Kept tracking trading information for one stock that IPO in HK Stock Exchange (Shengjing Bank, 02066), and keep predicting the price for the second day.

EXTRA-CURRICULARS

Participant, Chartered Professional Accountants Case Competition — Vancouver, BC Feb 2021 – Mar 2021

● Developed a pricing and marketing strategy for a Drink Works home bar appliance with a team of 4 to solve the issue of the quality of drinks created at home during COVID when bars were shut down due to pandemic restrictions.

● Independently deciphered solutions with SWOT analysis and a B2C model to connect with the user demand pain points, empower the users, clarify the potential disadvantages of the project. SKILLS

Technical: Data Visualization (Tableau), Python, RStudio, Bloomberg, Excel (Pivot Table, VLOOKUP, INDEX, MATCH, SORT, FILTER etc.) Languages: Mandarin (native), English (full professional proficiency) Soft Skills: Analytical & Problem Solving, Individual Learning, Collaboration & Teamwork, Verbal & written communication skills Others: Microsoft Word, Excel, PowerPoint, Slack, and Outlook.

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