S

Steven Mo

Operations Associate

Canada4 yrs experience

Key Highlights

  • Valedictorian with First Class Honors in Business Administration
  • Led regulatory compliance initiatives at RBC Capital Markets
  • Strong background in research and analysis from Goldman Sachs
Stackforce AI infers this person is a Finance and Business Development professional with expertise in regulatory compliance and research analysis.

Contact

LinkedIn

Skills

Core Skills

Regulatory ComplianceRisk ManagementResearch AnalysisClient RelationsQuality AssuranceApi DevelopmentBusiness DevelopmentAudit And Assurance

Other Skills

Asia Credit Strategy ResearchAssuranceClient insightsData accuracyData sourcingData validationFinancial auditMarket Access RuleMarket Access Rule regulatory programsMarket researchOpen API initiativePre-Trade Risk ControlsProduct launchQA testingRegulatory record maintenance

Experience

Rbc capital markets

Global Markets Electronic Trading Supervision Associate

Dec 2023 – Dec 2024 · 1 yr · Toronto, Ontario, Canada

  • Pre-Trade Risk Controls & Market Access Rule regulatory programs
  • Drove the two programs by initiating contact, resolving backlogs, facilitating data exchange, and validating data to beat tight regulatory deadlines
  • Rectified errors on existing records in the inventory by reconciling discrepancies between record owners and system owners
  • Maintained a high volume of regulatory records with high trust and accuracy
  • Ran various ad hoc tasks in parallel (e.g. internal tool release, policy drafting, data pull/sourcing requests, various summary tables) to support the wider group
Pre-Trade Risk ControlsMarket Access Rule regulatory programsData validationRegulatory record maintenanceRegulatory ComplianceRisk Management

Goldman sachs

Global Investment Research Analyst

Feb 2022 – Jan 2023 · 11 mos · Hong Kong

  • Asia Credit Strategy Research
  • Provided client insights by following internal research methodologies
  • Supported the desk in preparation of various materials with high visual clarity and data accuracy
Asia Credit Strategy ResearchClient insightsResearch methodologiesData accuracyResearch AnalysisClient Relations

Hong kong monetary authority (hkma)

Fintech Facilitation Office Analyst Programmer

Jul 2020 – Jun 2021 · 11 mos · Hong Kong

  • Use case analysis and QA testing for Phase I & II of the HKMA’s Open API initiative
Use case analysisQA testingOpen API initiativeQuality AssuranceAPI Development

Zenyum

Business Development Summer Intern

May 2020 – Jul 2020 · 2 mos · Hong Kong

  • New product launch and market research for the Singaporean venture backed by Sequoia Capital, L-Catterton, RTP Global, TNB AURA, and other investors.
Market researchProduct launchBusiness Development

Pwc

Financial Audit and Assurance Winter Intern

Jan 2020 – Feb 2020 · 1 mo · Hong Kong

  • Annual audit review for a diversified financial and virtual banking group.
Financial auditAssuranceAudit and Assurance

City university of hong kong

2 roles

Peer-Assisted Learning Scheme Tutor

Sep 2018 – Apr 2019 · 7 mos · Hong Kong

Student Ambassador

Feb 2018 – Oct 2018 · 8 mos · Hong Kong

Education

City University of Hong Kong

Bachelor of Business Administration - BBA — Information Systems

Università Bocconi

Academic Exchange — Finance/Valuation/Fintech/Business Strategy

Jan 2020 – Present

IESE Business School

Entrepreneurship and Innovation Center — Entrepreneurship & FinTech

Jan 2021 – Present

Massachusetts Institute of Technology

MIT HK Innovation Node — FinTech

Jan 2021 – Present

Seoul National University

Young Scholars Program — International Business/Trade/Commerce

Jan 2018 – Present

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