Cong Li Email & Phone Number

- Serve as escalation point for issues; research and resolve issues raised by team members as well as front-office. - Manage daily workflow and supervise a team for a KYC remediation project as well as client onboarding teams. - Evaluate staff performance and provide feedback via information discussions, semi-annual performance meetings, and annual review processes. - Review resumes, coordinate with consulting agencies, and conduct interviews as part of a recruitment effort. - Participate in Risk & Controls Self-Assessment (RCSA) testing to identify and remediate control gaps.- Engage key stakeholders (Financial Advisors, Quality Control, and Compliance) to establish and maintain excellent working relationships in order to complete KYC record

- Documented client KYC records to ensure compliance with firm and regulatory AML/KYC policies. - Interacted with Financial Advisors and Client Associates to update KYC information of individual and institutional clients, such as funds, investment advisors, operating companies, and other entity types. - Drafted desktop procedures and user guides used in training new hires.

- Onboarded clients using firm KYC and onboarding systems.- Documented client KYC records to ensure compliance with firm and regulatory AML/KYC policies. - Interacted with Financial Advisors and Client Associates to update KYC information of individual and institutional clients, such as funds, investment advisors, operating companies, and other entity types. - Drafted desktop procedures and user guides used in training new hires. - Designed and developed forms in Adobe Acrobat to streamline the collection of client information for on-boarding and KYC.

- Analyzed peer reviews to identify issues associated with firm reputation risk, compliance, employee relations, and potential legal liability. - Escalated relevant performance reviews to the appropriate departments for further investigation.

New York, New York, Us

- Developed case strategy, and prepared memoranda in connection with personal injury defense cases. - Researched legal precedent and supportive case law for personal injury defense cases using WestLaw Legal Services. - Drafted pleadings personal injury defense cases such as Summary Judgment and Dismissal Motions, Attorney Affirmations, and Verified Answers. - Reviewed and summarized deposition testimony.

Education record

Ba, History