Denis Lee Email & Phone Number

Greater Los Angeles Area

• Counterparty review and management• Manage employee personal trading program. • Hands on involvement in testing and researching of compliance matters.• Built and manage MNPI/Conflicts Management System and portfolio compliance.• Work closely with IT developers on implementing pre-trade and post-trade compliance rules and limits.• Work closely with IR group and prepare compliance material on clients’ request.• Manage and implement clients' ESG watchlist and restrictions.• Review, test, and file sub-advisor compliance certifications.• Streamlining testing procedures utilizing technology and adding efficiency in oversight process• Conduct on-going review of company policies and recommend updates and enhancements to ensure compliance with changing regulations• Undertake special compliance-related projects• Public/Private Information management. • Keep current on best practices through webinars• Maintain relationship and educate off-shore resources.

Los Angeles, Ca

• Manage the day-to-day operations of the Data Management team comprised of three staff members and a team of offshore resources• Responsible for creating/reviewing security master setups in the OMS and Accounting systems.• Work closely with IT to develop specifications, test and enhance applications• Execute and manage ad hoc special reconciliations projects• Troubleshoot and resolve data issues in accordance with Data Owner’s expectations• Manage Corporate Actions events, loan amendments, and debt restructures.

Los Angneles, Ca

• Responsible for trade processing and settlement in loans/bonds/derivatives• Coordinated with custodians and prime brokers to set up new accounts• Participated in special projects such as trade automation and system conversion• Strong knowledge in fixed-income products, corporate bonds, bank loans, and CLO/CDO

Calabasas, Ca

• Cash Management Support for the broker/dealer with $30B of daily financing• Managed real time cash positions for the repo financing desk• Responsible for trade confirmations with counterparties• Prepared finance reports daily for accounting and operations personnel• Gained valuable experience in mortgage-backed securities/capital markets

North Hollywood, Ca

• Responsible for forecasting the advertising budget and collecting from vendors• Converted industry practice from mailing physical newspaper tear sheets as proof of performanceto emailing digital copies PDF, which cut the processing time from 2 weeks to 1 week.

Los Angeles, Ca

• Managed student workers with office duties• Trained student drivers on operating the OSD van service.

Master, Business Administration

Ba, Economics / Specialization In Computing

Activities and Societies: Hong Kong Student Society

Education record