u s securities and exchange commission - securities compliance examiner@ U.S. Securities and Exchange Commission
San Francisco, California, United States
Benjamin Yu
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University of California, Davis
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FlashIntel GPTBenjamin Yu is an experienced Securities Compliance Examiner with 18.1 years of work experience. He has a strong background in auditing, financial regulation, and internal audit. Benjamin has worked at reputable companies such as BlackRock and FINRA, where he held positions as Vice President, Legal & Compliance and Senior Regulatory Coordinator. He is skilled in securities regulation, financial analysis, and risk management. Benjamin is currently based in San Francisco, California.
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About
U.S. Securities and Exchange Commission - Securities Compliance Examiner
Work Experience
u s securities and exchange commission - securities compliance examiner
Securities Compliance Examiner
Financial Services
Benjamin Yu's Professional Milestones
- Securities Compliance Examiner (2014-11-01~–heute-01-01): Ensuring adherence to regulatory standards and enhancing vendor relationships and risk management.
- Field Auditor (2005-10-01~2007-10-01): Conducted thorough audits to identify errors and errors, enhancing operational efficiency and accuracy.
Education
Managerial Economics
2000-2004Skill
Auditing
Finra
Securities
Internal Audit
Securities Regulation
Financial Regulation
Kyc
Mutual Funds
Ofac
Anti Money Laundering
Financial Analysis
Financial Accounting
Broker Dealer Compliance
Broker Dealer Operations
Regulatory Examinations
Finop
Investment Advisory
Investment Advisers Act
Us Gaap
Regulatory Compliance
Marketplace Lending Compliance
Financial Advisory
Financial Services
Legal Compliance
Investments
Risk Management
Capital Markets
Equities
Due Diligence
Certification
Colleagues
Marcus McCuiston
Project Management Product Owner
Supriya Pyne
Data Product Owner | Chief Data Officer
Ja'nice Wisdom
founder executive director at read across jamaica foundation inc
Raghav Vajjhala
Chief Technology Officer | Chief Information Officer | Chief Digital Officer
James Stallins
Chief Executive Officer | Founder
Other Named Benjamin Yu
Frequently asked questions
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Benjamin Yu works for U.S. Securities and Exchange Commission
Benjamin Yu's role in U.S. Securities and Exchange Commission is u s securities and exchange commission - securities compliance examiner
Benjamin Yu works in the industry of Financial Services
Benjamin Yu's colleagues are Marcus McCuiston,Supriya Pyne,Ja'nice Wisdom
Benjamin Yu's latest job experience is u s securities and exchange commission - securities compliance examiner at U.S. Securities and Exchange Commission
Benjamin Yu's latest education in University of California, Davis
