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Flag of United States Diamond Bar, United States
Member since October, 2013
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My previous work experience include being a Compliance Specialist for an Investment Firm. I implemented and executed the company's Code of Conduct policies. Before, that I held a couple of Administrative Assistant positions doing a lot of general clerical duties, including data entry and transcriptions. I am fluent in Chinese both written and verbally. I have basic conversational abilities in German.
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Compliance Associate

May 2002 - Sep 2006 (4 years)

Administer and enforce the Personal Investing Policy based on SEC rules Coordinate and manage Investing Disclosures Review employee personal investment statements for transactions and holdings Pre-clear employee personal investing Audit employee personal investing on a quarterly & annually basis Report to Personal Investing Committee of any issues and violations Compile and maintain reports of employee personal and professional holdings

Compliance Assistant

May 2001 - May 2002 (1 year)

Act as liaison between Legal and Communications department Receive and distribute sales literature for review Relay legal comments to Communications for revisions Submit sales literature for NASD filing Maintain a large filing system of sales literature General clerical duties

Administrative Assistant

Jun 1998 - Sep 2000 (2 years)

Maintain filing system of patient medical records Operate multiple phone lines Schedule meetings and appointments Data entry - patient information, transcribe physician's notes Compile medical and lab reports Coordinate UCLA Hematology-Oncology Fellowship Program


B.A. in Political Science

1995 - 2000 (5 years)


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