Nancy Cui Email & Phone Number

New York, New York, US

• Provided day-to-day line Compliance coverage for Global Banking & Markets – Equities businesses, including low and high-touch sales and trading desks for program trading, capital markets, systematic market making and.
• Created, developed, and implemented Compliance training programs for Equities professionals
• Analyzed new or amended laws, rules, and regulations to formulate practical solutions to industry-wide issues
• Performed oversight of surveillance reviews, and assisted with regulatory examinations, and audit inquiries
• Developed Compliance policies and procedures outlining firm requirements, regulations, and best practices

London, GB

• Accountable for assessing global impact of US changing regulations on Global Markets business
• Worked on Trading Floor to monitor compliance with CFTC Swap Dealer, SEC Securities Based Swap Dealer, Volcker Rule and other regulatory policies within Global Markets business and with functional supporting business
• Collaborated with continual improvements of policies and procedures, controls and tenants of MSS compliance programs, and organized Front Office’s engagement during NFA exams, SEC exams and relevant regulations

Plano, Texas, US

• Responsible for advising client on the valuation of R&D department for a Chinese Technology company for tax reporting purposes and documented key model inputs and outputs in a valuation report
• Organized and coordinated client meetings to discuss the possible valuation methodologies and worked with managers to set up screening criteria for comps in order to calculate WACC
• Leveraged Capital IQ to screen comparable companies using multiple criteria including geographical location, market capitalization, business description
• Built valuation models using discounted cash flow (DCF) analysis and comparable company analysis
• Sensitized on multiple model assumptions including Debt-free net working capital, EBITDA margin, and weighted average cost of capital (WACC), and estimated the range of the target company valuation

Wan Chai, HK

• Searched financial data of three comparable companies in leasing industry, analyzed general ability of target company, and completed financial part of investment proposal
• Composed an annual analysis report of an invested company in packaging and printing industry based on due diligence and investment proposals for post-investment management

Beijing, CN

• Completed industry research and performed due diligence with five team members for an In Vitro Diagnosis (IVD) industry IPO in Shanghai Stock Exchange
• Coordinated with team and management regarding client expectations concerning project deliverables and deadlines
• Analyzed historical financial statements and evaluated operational trends to identify sustainable earnings
• Visited 50 major suppliers and 50 major consumers to investigate business compliance with issuer, collected past 3-year documentation on legal liabilities and violations in commercial taxation for the client

上海, CN

• Leveraged Wind and Excel to analyze rating report and research report, evaluated corporate bond issuance plans, and drafted a memorandum for financing
• Developed due diligence report and other compliance-related documentation by collating due diligence draft, updating latest data on the prospectus, and calculating financial ratios to evaluate profitability, liquidity.
• Coordinated the communication with regulatory authorities (Shanghai Stock Exchange) and validated the data in the research report on compliance issues

Master Of Science - Ms, Finance

Exchange Student

Bachelor Of Science - Bs, Marketing