Jack Ye, Cfa Email & Phone Number

Beijing, Cn

• Update, develop and draft and the firm’s compliance policies and procedures to detect and prevent violations of the securities laws, regulations and SRO rules• Review sales and trading activities for possible regulatory violations • Oversee the employee’s trade activities, gifts and entertainments and outside business activities etc.• Review and approve research reports, marketing materials etc.• Develop/drive KYC risk-focused plans and procedures to meet risk and regulatory requirements• Prepare and submit different regulatory forms and reports, such as Form BD, Form U4/U5 etc. • Provide compliance trainings to the firm’s employees

Hong Kong, Hk

• Conduct surveillance of equity and fixed income trading activities (i.e. Reg NMS, SHO, OATS, ACT and TRACE)• Provide advice and guidance to front office businesses in respect of permissible interaction with research analysts/provide chaperon as necessary and on implications of firm's Restricted List Policy and other Control Room related activities• Assist in preparing for and coordinating internal audit and regulatory• Monitor and review employee trading as well as outside business activities and private securities• Maintain company’s restricted and watch list and check/approve company’s research reports • Conduct branch office reviews• Perform AML compliance monitoring and testing

New York, Ny, Us

• Review trading teams’ disclosures in order to make sure that they disclose trade errors, one-on-one meetings, personal trading, syndicate communications, conflicts of interests, gifts and entertainment, political contributions, and outside business activities as required by the firm’s policies and procedures • Perform daily surveillance of trading team’s emails and check whether they violate rules and regulations, including rules pertaining to price-sensitive non-public information, MNPI, market manipulation, and rumors • Check the status of research providers, brokers, and experts used by trading teams to make sure they are approved by the firm • Provide feedback on the surveillance program and assist with the development of firm policies and procedures • Perform ad hoc functions to support the firm’s compliance program such as updating the compliance systems and databases

• Built and maintained client bases, keeping current client plans up-to-date and recruiting new clients on an ongoing basis • Prepared and interpreted for clients information such as investment performance reports, financial document summaries, and income projections • Recommended strategies clients can use to achieve their financial goals and objectives, including specific recommendations in such areas as cash management, insurance coverage, and investment planning

• Performed data analysis on the China Union Pay (CUP) market• Analyzed market data to provide professional Chinese bankcard acquiring strategies

Beijing, Cn

• Conducted daily surveillance activities, including monitoring, investigating fraud activity and anti-social force • Optimized fraud risk assessment criteria to maximize fraud prevention

Beijing, Beijing, Cn

• Reviewed and graded credit cards applications• Identified control issues/policy violations and proposed actions to mitigate reoccurrence• Provided exceptional service to internal and external customers, including support all branches and customer contact centers

Ma, Finance

Ba, Finance