Hua Yang
- Role
- Senior Compliance Associate at CLSA
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Hua Yang
Compliance professional with working experience in broker-dealer, banking and corporate.…
Experience
Senior Compliance Associate
Nov 2017 — Present
General compliance covering: 1) KYC/AML/Sanctions: client life cycle management, ongoing monitoring and AML risk analysis, 2) Regulatory: compliance tasks/testing; policy and procedures amendment, and regulatory research; 3) Daily surveillance (Trades Reports, Bloomberg B-Vault and Recorded Line) and Control Room; 4) Corporate governance: constitutional documents, board resolution, meeting minutes, filing and reports with HO; 5) Legal agreement management
Skills
- Due Diligence
- Risk Assessment
- Legal Advice
- Legal Writing
- Mergers & Acquisitions
- Anti-Corruption
- Quality Assurance
- Kyc
- Intellectual Property
- Licensing
- Code of Conduct
- Legal Research
- Anti Money Laundering
- Employment Law
- Compliance
- Litigation
- Fcpa
- Corporate Governance
- Corporate Law
- Competition Law
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