Experience

Volkswagen (China) Investment Co., Ltd.

• China
• Retail
• 1 - 100 Employee

• I&C Officer

  • May 2019 - Present



Herald International Financial Leasing

• Beijing, China

• Compliance Officer

  • Dec 2016 - May 2019



Beijing Legendary Motion Investment Management

• Beijing City, China

• Compliance and Risk Senior Manager

  • Oct 2014 - Nov 2016



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Compliance Manager

  • Aug 2013 - Aug 2014



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Compliance Associate

  • Jan 2013 - Apr 2013

  Reviewed employee trade confirmations to identify any trade in violation of the window period or restrictions; conducted the 5% sample reviews of the account statements filed; contacted outside brokerage firms for initiating the statements for newly approved accounts and/or discontinuing forwarding the statements for non-brokerage accounts, e-linked accounts and terminated employees’ accounts. Reviewed employee trade confirmations to identify any trade in violation of the window period or restrictions; conducted the 5% sample reviews of the account statements filed; contacted outside brokerage firms for initiating the statements for newly approved accounts and/or discontinuing forwarding the statements for non-brokerage accounts, e-linked accounts and terminated employees’ accounts.



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• Compliance Risk Analyst

  • Jul 2012 - Dec 2012

  Researched and analyzed each country and each affiliate’s risks associated with anti-money laundering compliance, and wrote reports on the corruption, regulatory environment, and enforcement of AML regulations for each country; Reviewed SARs, categorized them based on their attributes, and identified the banks that originators frequently use; Reviewed subpoenas and categorized them based on their key attributes for further analysis of their trends and characteristics. Researched and analyzed each country and each affiliate’s risks associated with anti-money laundering compliance, and wrote reports on the corruption, regulatory environment, and enforcement of AML regulations for each country; Reviewed SARs, categorized them based on their attributes, and identified the banks that originators frequently use; Reviewed subpoenas and categorized them based on their key attributes for further analysis of their trends and characteristics.



Hogan Lovells

• United States
• Law Practice
• 700 & Above Employee

• Legal Translator/Paralegal

  • Oct 2007 - May 2011

  Published over twenty articles about Chinese regulations; Prepared the filing documents required by SEC for a Chinese company to be listed on NYSE; Reviewed four thousands of documents of a multinational company under European Commission Competition Division to identify evidence on monopolistic acts; Reviewed the legal documents for Ford to acquire Volvo; Translated and revised thousands of legal documents, contracts, memoranda, and agreements to close deals involving foreign investments, joint ventures, incorporations, and acquicisions. Show less