Mr. Tian is a Manager at Patomak. Mr. Tian works on compliance reviews of asset managers, private equity funds, mutual funds, and other financial services firms, including interviewing personnel, conducting regulatory reporting reviews in which he helps to conduct gap assessments and issue recommendations for remediation and enhancement, reviewing and analyzing InfoSec and IT Systems, testing compliance systems, and drafting reports regarding compliance reviews. He oversees a team that advises financial firms and global financial holding companies on domestic and international securities and derivatives regulatory activity and legal developments; and has conducted the review, analysis and assessment of the SEC Rule 15c3-1, Rule 15c3-3, and Rule 15c3-5 compliance programs of several broker-dealers.
Mr. Tian previously served as a summer intern at Cadwalader, Wickersham & Taft LLP in New York, a summer intern at AllBright Law Offices in Shanghai, China, and a law clerk for Lewis’ Barristers and Solicitors in Hamilton, New Zealand.
He received his Bachelor of Law (LLB) from the University of Waikato, New Zealand and his J.D., magna cum laude, from New York Law School. Mr. Tian is fluent in Mandarin.