Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Jialin Kuang

New York,NT

Summary

Thorough Examiner with 2 years of experience in the compliance and swap dealing field. Strong knowledge of resolution procedures and CFTC Regulations, Dodd-Frank Regulations and NFA Rules. Experienced handling problematic non-compliance issues.

Overview

5
5
years of professional experience
1
1
Certification

Work History

Compliance Examiner II

NFA
02.2022 - Current
  • Conducted interviews with key personnel across different business functions at member firms to gather critical information on regulatory compliance, risk management and market practices
  • Conduct thorough reviews of financial reports, policies and procedures, identifying any instances of non-compliance and documenting cases with supporting evidence
  • Proactively guide member firms in adhering to regulations, providing clear and practical guidance on compliance requirements
  • Stay up to date with industry protocols and maintain expertise in regulatory compliance measures.

Community Research Aide

Weill Cornell Clinical and Translational Science Center
07.2018 - 08.2018
  • Improved awareness of community activism, housing discrimination and advocacy through working at Brownsville and Bronx Neighborhood Action Centers
  • Assisted in preparation of informational packets for community health intervention programs targeting chronic diseases.

Education

Bachelor of Business Administration in Finance -

Baruch College/CUNY, Zicklin School of Business
New York, NY
01.2021

Skills

  • Can speak and write in Mandarin, Cantonese, and Taishanese; Beginner in French
  • Supervision Abilities
  • Proficient in Tableau
  • Risk Assessment Skills
  • Data Analysis
  • Effective Communication
  • Attention to Detail
  • Policy Analysis
  • Microsoft Word

Certification

Certificated Fraud Examiner(expected Feb 2024), Swap Proficiency Exam, Bloomberg Market Concepts Certification

Timeline

Compliance Examiner II

NFA
02.2022 - Current

Community Research Aide

Weill Cornell Clinical and Translational Science Center
07.2018 - 08.2018

Bachelor of Business Administration in Finance -

Baruch College/CUNY, Zicklin School of Business

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Jialin Kuang