Alexander Chan, Cams, Csm Email & Phone Number

New York, Ny, Us

Greater New York City Area

Commercial Banking Financial Crimes Risk

Greater New York City Area

FSO Advisory - Financial Service Risk Management.

Greater New York City Area

Greater New York City Area

Weehawken, Nj

Alex collaborated with technology, operations, and business personnel counterparts, on a weekly basis, to monitor, track, and implement new technologies and procedures to address regulatory concerns (SEC Rule 13h-1 Large Trader Reporting). These weekly meetings ensured technical updates were applied to the business and IT infrastructure.In addition, Alex analyzed the quality of execution data and prepared statistics pursuant to SEC Rule 605 for the Execution Quality Assessment Committee. He also calculated, analyzed, and disseminated statistics for order routing decisions pursuant to SEC Rule 606.

Weehawken, Nj

Alex was aligned to a two year rotational program serving Legal and Compliance. His experience included rotations in Regulatory Compliance, Anti Money Laundering, Options Compliance, Surveillance, Trust Company and Private Bank.In each rotation, Alex developed project management tools to monitor deadlines and deliverables, as well as other tools and Excel Macros that reduced daily and weekly reporting times.

Piscataway, Nj

Alex planned and coordinated campus wide events (with over 700 students in attendance), working with other student leaders and affinity groups to execute flagship events like the Pan Asian Lunar New Year.