STEPHANIE CHEN, CFA

Cell: 347-***-**** www.linkedin.com/in/stephanie-chen-cfa-30112115 adg31p@r.postjobfree.com

** **** **** *** *** mailto:adg31p@r.postjobfree.com

New York, NY 10011 FINRA Series 7 and 63; Singapore CMFAS Model 1B /M5; Hong Kong Sec. Inst. Exam I

SUMMARY

Senior capital market professional with in depth knowledge in Fixed Income, Equity, FX, Derivatives and portfolio risk management. Proven analytical and problem solving skills focusing on Investor Management, Deal Structuring, Business Development, Strategic Marketing, Sales Execution, Liquidity management and Asset Allocation.

Expertise in working capital management, financial planning and analysis, cost analysis, asset liability management and Visual Basic and SQL financial modeling.

Piloted strategic marketing and sales efforts focused on solution selling to solicit new direct clients since 2016. Raised USD 600 million funds in 2017 (12 month period) and USD 500 million in 2018 (first 6 months period).

Negotiated lower funding costs for the bank (in average by 2-5 bps) on USD 10 billion on a daily basis. Communication with investors daily to build relationships and generate new product ideas.

Spearheaded in creating financial portfolio and CRM reports by coding in Visual Basic, and built Microsoft Access database SQL scripts on storing companies and client trade data to improve reporting time by 97%

Structured and closed USD 5 billion worth of Collateralized Debt Obligation deals using advanced fixed income portfolio modeling and data analytics

CORE COMPETENCIES

Deal Structuring and Trading – Marketing & Sales – FP&A – Investment Management

FX and Interest Rate Hedging – SQL and Visual Basic – P&L analysis – Business Development

Product Management – Strategic Business Planning – Investor Relationships – Financial Modeling

PROFESSIONAL EXPERIENCE

Financial Consultant, New York, NY Oct 2018 – Present

Creating marketing and KPI analysis for corporations utilizing data extracted from multiple resources ( CRM).

Proposing valuation financial models for corporations by analyzing current assets and current liabilities.

China Construction Bank Corp, New York, NY April 2011 – July 2018

Vice President – Marketing, Sales and Trading at the treasury department

Functioning as a dealer/ trader responsible for raising USD $ or Chinese RMB funds in the global market by pricing and executing money market instruments.

Executed FX and SWAPS hedging strategies to facilitate risk and balance sheet management to reduce interest rates and FX exposure. Managed fixed income portfolio investments.

Led business development, digital marketing and client relationship management works based on strategic digital marketing plans and diligent sales efforts in order to diversify global client bases for funding purpose.

Solicited and signed up new direct clients while maintaining existing client relationships by handling redemptions, executing buy backs, rolling deposits and negotiating prices.

legal document reviewing, budgeting and forecasting, evaluation, cost analysis, profit and loss analysis, asset liability management, working capital management ( letter of credit) and corporate credit analysis.

Participated in credit analysis bank loans lending in corporations and real estate loans.

Performed Created all treasury management reports and databases by coding in Visual Basic and SQL for the treasury desk in order to transform the bank’s US business processes.

Created and developed auditing and risk management related P&L, transactions, mandated thresholds consolidation reporting including but not limited to counter party exposure, client credit limits, market value variation and tolerance, Fed and state regulators compliance and reporting.

Performed Client due diligence and on boarding tasks.

Product Development and Management leadership on various projects:

a)Cross-border money market transactions initiatives

Took marketing and business development responsibilities to build presence.

Defined client and product types . Conducted meetings and created working agenda / deadlines for teams involved ( IT, operations, vendors, trading desk )

Conducted and coordinated the parameters and results for testing and subsequent sign off

b)Trading desk treasury system integration and database initiatives

Designed and assigned projects to team members (visual basic coding, SQL coding)

Conducted meetings to verify test results and the data flow to the finance department

Coded and improved the workflow to integrate liquidity and treasury cash positions from various data sources

Designed template and reports to meet demands from Chinese head office in Beijing

c)REPO products initiatives

d) The Chinese RMB internationalization initiatives

Hexagon Securities LLC, New York, NY Mar 2009 – Oct 2010

Sales Director – Fixed income and Structured Products Sales Desk

Functioning as a salesperson crossing fixed income cash bonds in Investment Grade /High Yield corporate credits and structured space (Agency CMO/Non Agency RMBS, CDO, CLO, CMBS, ABS).

Covered asset managers, insurance companies, hedge funds, bank treasury departments, bank prop desks in the US, Europe and Asia (Taiwan, Hong Kong, Singapore, Korea and China) to build relationships.

LGT Bank Wealth Management, Hong Kong Sep 2008 – Dec 2008

Advisory Director – Investment Advisory Desk

Functioning as an advisor advising high net worth clients on asset allocation and investment strategies based on macro view and top-down analysis. Construct optimized portfolio for new accounts.

Recommended buy/sell on global equities, ETFs, credit / equity / FX- linked products, sovereign/corporate debts, currencies and commodities.

UBS Investment Bank, New York, Singapore, Hong Kong Apr 2006 – Jul 2008

Associate Director – Global Structured Credit Origination Desk

Functioning as a structurer responsible for structuring, modeling, marketing and pitching Collateralized Debt Obligations (CDOs) to global institutional and private clients.

Structured US Asset Backed / Mortgage Backed hybrid, cash flow and synthetic Collateralized Debt Obligation transactions (alternative investments). Facilitated negotiations with asset managers, rating agencies, insurance / hedge counter parties and investors. Prepared pitch books, model cash flow waterfall and generated investor requested scenario runs to facilitate the selling process.

Marketed Collateralized Loan Obligation (CLOs) debts. Presented non-recourse private financing solutions to Chinese domestic banks, Asian hedge funds, asset managers and investors. Offered real time client coverage on US and European structured credit products.

Moody’s Investors Services, New York, NY Jan 1999 – Mar 2006

Rating Analyst – Structured Finance Group, Derivatives and Funds

Functioning as a rating analyst to performing qualitative and quantitative analysis on deal credit quality including the assessment of collateral, transaction structure and legal, operating and regulatory risks.

Led credit analysis and financial modeling on a broad range of structured products including CLOs, ABS CDOs (underlying asset pools composed of subprime, residential mortgages, commercial real estate mortgages, student loans, auto ABS, corporate bonds or bank loans), Structured Notes, Principal Protected Notes, RMBS, CMBS and Credit Default Swaps.

Performed due diligence on issuers and asset managers. Monitored the underlying bank loan and corporate bond credits.

Explained rating mythologies to investors, third party law firms, and investment bankers.

Product Development and Management

a)Moody’s structured finance model upgrade initiatives

Defined the parameters and thresholds for model input.

Defined the target and standard deviation for model output.

Tested and coded required functions in Monte Carlo simulation to meet deadlines with IT teams.

Agreed and Singed off the commercial implementation.

Goldman Sachs Group, Inc, New York, NY Jan 1995 – Jan 1998

Program Analyst – Fixed Income and Equity departments

Designed and developed global database management on GS trading platform in Visual Basic and SQL.

EDUCATION, CERTIFICATION AND LANGUAGE SKILLS

New York University Leonard Stern School of Business, MBA 2003

New York University Courant Institute of Mathematical Science, Master of Science 1994

National Taiwan University Computer Science Bachelor degree 1992

Chartered Financial Analyst (CFA) Charterholder 2005

Fluent in Chinese Mandarin. Basic in Italian

TECHNOLOGY

C, C++, Visual Basic, SQL, HTML, CRM reports. advanced financial modeling

ADDITIONAL INTERESTS

Flamenco dancing, Belly dancing, traveling, meditation, and new languages learning

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