Yau Lee Email & Phone Number
Chief Compliance Officer @ Ruane, Cunniff & Goldfarb
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Yau Lee Location
- New York, NY, US
Yau Lee Work
- Chief Compliance Officer @ (March 2022 - Present)
- Compliance Associate @ (March 2021 - March 2022)
- Compliance Associate @ (April 2019 - March 2021)
- Compliance Officer @ (March 2018 - March 2019)
- Compliance Associate @ (July 2015 - March 2018)
Yau Lee Skills
- Analysis
- Anti Money Laundering
- Best Execution
- Broker-Dealer
- Broker-Dealer Compliance
- Budgets
- Communication
- Compliance Management
- Compliance Regulations
- Customer Service
- Cybersecurity
- Data Entry
- Due Diligence
- Hedge Funds
- Insider Trading Regulations
- Investment Advisor Compliance
- Investment Companies
- Investment Company Act
- Leadership
- Marketing Materials
- Microsoft Excel
- Microsoft Office
- Microsoft Word
- Negotiation
- Outlook
- Policies & Procedures Development
- PowerPoint
- Proxy Voting
- Quality Assurance
- Regulatory Compliance
- Regulatory Examinations
- Regulatory Filings
- Regulatory Guidelines
- Regulatory Reporting
- Regulatory Requirements
- Research
- Securities Regulation
- Series 24
- Series 57
- Series 63
- Series 7
- Software Documentation
- Surveillance
- Teamwork
- Time Management
- Trade Compliance
- Training
- U.S. SEC Filings
- U.S. Securities and Exchange Commission (SEC)
- Windows
Yau Lee Summary
- Yau Lee, based in New York, NY, US, is currently a Chief Compliance Officer at Ruane Cunniff LP. Yau Lee brings experience from previous roles at Ruane Cunniff LP, Black Diamond, Paradigm Capital Management, Inc. and C.L. King & Associates. With a robust skill set that includes Analysis, Anti Money Laundering, Best Execution, Broker-Dealer, Broker-Dealer Compliance and more. Yau Lee has 2 emails and 7 mobile phone numbers on RocketReach.
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