Xiaochen Chen Email & Phone Number

China

310000, Hangzhou, Zhejiang, China

⚫ Conducted the Legal Entity Assessment following the requirements of the Legal Entity Governance Standards through information-gathering, questionnaires, metrics checklist, etc., and provided timelyfeedback on the assessment results to the Legal Entity Oversight Committee after approval by the boardcommittee.⚫ Organized and drove monthly State Street Corp SS Hangzhou Risk and Compliance Committeemeetings to oversee operational risks associated with all Corp Shared Services (excl. finance) anddrafted meeting minutes.⚫ Represented the company to attend government-related meeting forums or training, such as ChinaService Trade Fair, and Hangzhou Municipal Bureau of Commerce Service Trade Talent Training.⚫ Reviewed all contracts and documents that require legal representative stamping at a LE level to ensure they meet the requirements of SOP. E.g. Service outsourcing contracts.⚫ Represented the company to attend government-related meeting forums or training, such as the China Service Trade Fair, and Hangzhou Municipal Bureau of Commerce Service Trade Talent Training.⚫ Reviewed all contracts and documents that require the stamp of the legal representative at the legalentity level to ensure that the process complies with the SOP. E. g. Service outsourcing contracts.⚫ Cooperated with different functions to continuously monitor legal entity compliance with applicablelaws, regulations, rules, standards, codes of conduct, and the 3 lines of defense.⚫ Built & maintained productive working relationships with colleagues globally at all levels and acrossfunctions to achieve results. E. g. The application for a new financial license, the identification of advanced enterprises in Hangzhou, and vendor governance in cooperation with compliance.⚫Managed the internal business continuity of the department, including but not limited to assistingmanagers to make and update the business impact analysis (BIA) plan, mapping employees in thesystem, etc.

Hangzhou, Zhejiang, China

Acted as a backup for a colleague on her maternity leave to prepare and deliver monthlyInvestment Services China Multi-currency HORIZON recon report and AML recon.

Shanghai, China

⚫ Served institutional clients and high-net-worth clients with the counter business.⚫ Filed taxes returns for the department monthly and made monthly departmental payroll.⚫ Made the human resources statement monthly and updated personnel turnover in the human resource system when needed.⚫ Assisted compliance in regularly submitting compliance reports and related forms to the government.

Cambridge, Ma, United States

⚫ Assisted risk managers with projects involved in property & casualty coverages for the university.⚫ Improved the “Mobile Property & Transit Request” form and workflow.⚫ Forecasted general liability losses for the next decade using Excel.⚫ Analyzed deductibles to find a more appropriate deductible level.

Hefei, Anhui, China

⚫ Learned about various commercial loan products. E.g. Fixed Assets Support Financing, Project Loan, Small Business Working Capital Loan, etc.⚫ Assisted the manager in answering questions from institutional clients about lending.⚫ Assisted the manager to review the client’s Personal Commercial Housing Loan application materials

Master Of Science, Enterprise Risk Management

Bachelor Of Science, Financial Management

学士, 财务管理