RAYMOND YU
Boston,MA
Summary
Experienced leader skilled in business strategy, project management, and strategic goal attainment. Demonstrates a proven record of developing efficient processes, maintaining high standards, and aligning efforts with organizational objectives. Recognized for a collaborative approach and unwavering commitment to excellence.
Overview
13
13
years of professional experience
Work History
Investment Compliance Director - Assistant Vice President
State Street Corporation
Boston, MA
10.2017 - Current
- Oversight of post-trade investment compliance operations for up to 14 clients and over 500 funds.
- Achieved and maintained high client satisfaction and client sentiment by building long-term relationships while providing exceptional service and support.
- Raised operational quality with development, implementation and management of robust internal controls.
- Identified problem resolution by collaborating with various internal departments and managing relationships with internal teams.
- Represented State Street Compliance in client operational due diligence meetings.
- Operationally responsible for ensuring compliance with investment guidelines, Internal Revenue Code (IRC), and Securities and Exchange Commission (SEC) requirements by administering compliance programs on a portfolio of mutual funds.
- Reviewed investment guidelines and prospectuses to determine changes to compliance controls, and customized fund specific tests for compliance monitoring.
- Reviewed results for reasonableness by collaborating with clients, custodians and fund managers.
Owner / Operator
Archery Games Providence
Providence, RI
10.2022 - 12.2024
- Owner, operator, and franchisee of Archery Games in Providence, RI.
- Managed day-to-day business operations of a 7,000 sq ft archery tag facility producing ~$75k in annual sales.
- Developed business strategy, processes and procedures to provide a 5-star experience to customers. Obtained 295+ five-star Google reviews in less than
2 years. - Assessed income and expenses and adapted plans to improve profit levels.
- Fostered strong professional network and partnership building skills to connect with quality leads and partners.
- Managed purchasing, sales, marketing and customer account operations efficiently.
Investment Compliance Manager - Officer
State Street Corporation
Boston, MA
04.2016 - 10.2017
- Supervised and collaborated with a team of up to 8 co-workers within the Compliance group.
- Trained and motivated team members by providing subject-matter expertise and leading with a positive attitude and approach.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Created operational efficiencies by implementing best practices and identifying areas of opportunity for improvement.
- Successfully launched new office in Mumbai, India for our Global Delivery team, and initiated a successful Phase 1 'Go-Live' by targeted date completed a three month expatriate assignment.
- Winner of the Fund Administration Excellence Award for achieving lean initiatives, risk excellence, and demonstrating a continuous commitment and dedication to operational improvement and success (July 2016).
Investment Compliance Analyst - Senior Associate, Associate II, Associate I, Intern
State Street Corporation
Boston, MA
10.2011 - 04.2016
- Collaborated with a team of up to 8 co-workers within the Compliance group
- Demonstrated attention to detail, logical reasoning, and analytical skills while preparing and reviewing compliance reports for accuracy, and compliance breaches for reasonableness
- Received multiple awards and recognition for exemplifying a strong work ethic with a positive approach, while continuously striving to achieve goals and exceed expectations
- 3-time Recipient of the Above & Beyond Award for continually going the extra mile and contributing at levels above and beyond normal required duties (July 2015, Sept 2014, Feb 2014).
Education
Bachelor of Science - Business Administration and Management
University of Massachusetts Boston
Boston, MA12.2012
Skills
- Business strategy
- Team management
- Compliance management
- Client relations
- Critical thinking
- Detail oriented
- Risk management
- Independently motivated
- Adaptability
- Goal oriented
Timeline
Owner / Operator
Archery Games Providence
10.2022 - 12.2024
Investment Compliance Director - Assistant Vice President
State Street Corporation
10.2017 - Current
Investment Compliance Manager - Officer
State Street Corporation
04.2016 - 10.2017
Investment Compliance Analyst - Senior Associate, Associate II, Associate I, Intern
State Street Corporation
10.2011 - 04.2016
Bachelor of Science - Business Administration and Management
University of Massachusetts Boston
Similar Profiles
Veena DanthuriVeena Danthuri
Trade Administration, Senior Associate at State Street Global Advisors, State Street CorporationTrade Administration, Senior Associate at State Street Global Advisors, State Street Corporation
KAUSTAV ROY CHOWDHURYKAUSTAV ROY CHOWDHURY
Associate Vice President -2 at State Street CorporationAssociate Vice President -2 at State Street Corporation
Jagan KannanJagan Kannan
Senior Manager at State Street CorporationSenior Manager at State Street Corporation