Benjamin Yu Email & Phone Number
Securities Compliance Examiner @ U.S. Securities and Exchange Commission
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Benjamin Yu Location
- San Francisco, CA, US
Benjamin Yu Work
- 2014 -now Securities Compliance Examiner @
- 2013 -2014 Vice President, Legal and Compliance @
- 2012 -2013 Senior Regulatory Coordinator @
- 2008 -2012 Senior Examiner @
- 2005 -2007 Field Auditor @
Benjamin Yu Education
- University of California, Davis
Bachelors of Science (Managerial Economics)
2000-2004
Benjamin Yu Skills
- Auditing
- Anti Money Laundering
- Marketplace Lending Compliance
- Securities Regulation
- Finop
- OFAC
- Financial Regulation
- Investment Advisers Act
- Investment Advisory
- Broker Dealer Operations
- Broker Dealer Compliance
- Mutual Funds
- Financial Accounting
- FINRA
- US GAAP
- Financial Analysis
- Regulatory Examinations
- Regulatory Compliance
- KYC
- Securities
- Internal Audit
- Financial Advisory
- Financial Services
- Legal Compliance
- Investments
- Risk Management
- Capital Markets
- Equities
- Due Diligence
Benjamin Yu Summary
- Benjamin Yu, based in San Francisco, CA, US, is currently a Securities Compliance Examiner at U.S. Securities and Exchange Commission. Benjamin Yu brings experience from previous roles at BlackRock, Financial Industry Regulatory Authority (FINRA) and Alliance for Audited Media. Benjamin Yu holds a 2000 - 2004 Bachelors of Science in Managerial Economics @ University of California, Davis. With a robust skill set that includes Auditing, Anti Money Laundering, Marketplace Lending Compliance, Securities Regulation, Finop and more. Benjamin Yu has 3 emails and 1 mobile phone numbers on RocketReach.
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