Brian Yu Email & Phone Number

Compliance and ethics executive with significant global expertise in managing compliance programs and assessing/executing strategic transformation/change. Areas of expertise include defining operating models and departmental strategies, building compliance capabilities and teams, managing regulatory reviews, and advising executive-level committees. In addition to managing global teams across the U.S. and Asia, have held leadership roles partnering across Compliance, Audit, Risk, Regulatory Affairs, and Ethics. Known as a self-starter with strong communication skills and the ability to adapt to leadership roles within diverse industries, including multinational investment banks, private banks, insurance institutions, and investment advisers.✔ Core Skills▸ Compliance Strategy & Operating Models, Management Consulting, SEC/FINRA Securities Regulations, Regulatory Examinations, Regulatory Filings (Form ADV, Form PF, 13F, 13D)▸Business Transformation & Change Management, Risk Assessment/Mitigation and Controls, Process Improvement, Anti-Money Laundering, Anti-Bribery and Corruption, Third Party Risk Management, Information Security / Privacy, Sales Practices, Code of Ethics▸Data Science/Analytics, Metrics and Reporting

Listed skills include Philanthropy, Sec Filings, Investment Advisers Act, Compliance Consulting, and 23 others.