TECHNICAL SKILLS

• HP Quality Center, SAP Ariba, RSA Archer, Phoenix, Salesforce.com, Bloomberg, SunGard Phase 3, CATTs, Magic, iPortal, CA Discovery, Microsoft’s Access, Visio, Excel, Outlook, PowerPoint and Word

PROFESSIONAL EXPERIENCE

Confidential

Business Analyst Consultant

Responsibilities:

• Using both Waterfall and Agile methodologies, working wif stakeholders to implement technology and business solutions by:
• Meeting wif key stakeholders to determine objectives, scope, impacts, prioritization and desired implementation timelines
• Gathering and documenting teh "as is" (current state) and teh "to be" (future state) process, business requirements and user stories from stakeholders
• Initiating contract/supplier lifecycle management process and working wif Sourcing partners to onboard new vendors and maintain existing vendor relationships
• Coordinating wif Information Security, Technology Risk and Compliance to determine potential impacts of technology initiatives
• Liaising wif technology partners to coordinate development, QA and User Acceptance Testing (UAT) timelines
• Developing targeted test scripts and use cases for stakeholders to test new or enhanced technologies
• Planning and conducting UAT, documenting defects and coordinating remediation
• Coordinating education and handoff to post implementation teammates
• Working wif technology management to determine technology department records required to be maintained, historical and current locations, and applicable retention schedules

Confidential, Atlanta, GA

Managing Member

• Accessed and reviewed SEC form filings (e.g., Forms 3, 4, 13F, etc.) to locate potential stock loan clients based on lenders’ loan/collateral criteria, and liaising wif prospective borrowers to assess loan needs
• Using teh Global Monitoring and Testing Standards, performed compliance testing on teh institutional investment advisor and, where applicable, teh Confidential bank, mutual funds and foreign affiliates including:
• Working wif subject matter experts to ensure up - to-date and comprehensive understanding of areas to be tested
• Researching, planning and undertaking detailed reviews, in accordance wif teh firm’s monitoring program to assess compliance wif applicable rules and regulations
• Evaluating compliance risks and mitigating controls
• Testing teh TEMPeffectiveness of existing policies and controls
• Preparing detailed and accurate reports of findings and communicating any noted issues to business management
• Obtaining business management’s commitment to implementing a corrective action plan
• Tracking teh implementation of corrective action plans through completion

Confidential, Jersey City, NJ

Compliance Consultant

Responsibilities:

• Gathering and reviewing internal data (both electronic and hard copy) responsive to regulatory requests
• Drafting initial responses to audit inquiries
• Updating and implementing new post audit Written Supervisory Procedures (WSP) for teh broker-dealer and investment adviser including:
• Reviewing and auditing procedures covering political contributions, outside business activities, entertainment/expenses and employee trading accounts (e.g., code of conduct reviews)
• Best practices wif respect to AML/ CIP/KYC/BSA laws, procedures and protocols
• Sales and trading regulatory and reporting obligations in fixed income and equity securities including TRACE, Reg. 144A, MSRB RTTM/RTRS, Reg. SHO, etc.
• Testing and auditing of institutional customer suitability obligations
• Ensuring and auditing policies for accurate and timely regulatory form filings (e.g., Form BD, Form U4, Form ADV, etc.)
• Aided in implementation and testing of WSP pursuant to FINRA Rules 3010, 3012 and 3130 including:
• Sales and trading regulatory obligations, testing and institutional customer suitability obligations in fixed income securities
• Ensuring accurate and timely Form BD, Form U5 and Form ADV amendment filings, Form ADV Part II filings, NFA/CFTC required form filings
• Reviews of political contributions, outside business activities, entertainment/expenses and employee trading accounts

Confidential, Brooklyn, NY

AVP, Debt Capital Markets Compliance Manager

Responsibilities:

• Devised, integrated, tested/audited and teh WSP wif respect to new investment adviser/broker-dealer laws (e.g., teh Acts of ’33, ’34 and teh Investment Adviser of 1940), commodities/futures laws, and SRO provisions including FINRA and NFA rules
• Firm FINRA and CME regulatory examination liaison
• Aggregated firm/affiliate-wide securities positions and filing appropriate SEC forms SC 13D and SC 13G
• Ensured current registration form filings for teh firm’s broker-dealer, investment adviser, futures commission merchant and their associated persons (e.g., Form BD, Form ADV, Form 7-R, Form U4, etc.)
• Reviewed and approved employee outside business activities, gifts, political contributions and entertainment expenses
• Ensured that teh firm’s Debt Capital Markets division (trading fixed income instruments including ABS/ MBS/ CMO/ CLO/ CDO/ corporates/ agencies/ municipals/ repo/ primary market and secondary market Treasury securities) operated in compliance wif securities/futures regulation through various proactive, audit and training functions including:
• Review of teh firm’s fixed income mark-up and best execution policies
• Ensuring compliance wif AML/KYC/CIP laws and rules and completing SARs when appropriate
• Perform testing and monthly review of TRACE and MSRB trade reporting report cards
• Ensuring compliance of teh Syndicate Department wif respect to new securities issuances
• Formulated and conducted branch audits
• Advised teh new product committee on regulatory impacts of new products

Confiidential, New York, NY

Confidential

Responsibilities:

• Fielded, coordinated interdepartmentally and responded to regulatory inquiries and examinations as teh firm’s FINRA Executive Representative and investment adviser’s SEC representative
• Devised, integrated, tested and updated teh firm’s WSP to changing securities laws and regulations including teh FINRA Supervisory Systems rules, teh Securities Act of 1933 and teh Securities Exchange Act of 1934
• Performed review of outside business activities, gifts, political contributions and entertainment expenses
• Web CRD form filings, FINRA Contact System and MSRB G37 reporting
• Planned teh Firm Element and Annual Compliance Meeting materials, and coordinated Regulatory Element scheduling
• FINRA qualification examination waiver request petitioning
• Ensured that teh Equity Sales & Trading, Market Making and Fixed Income Sales & Trading Units operated in compliance wif securities regulation and securities law through various proactive, audit and training functions including:
• Monitoring and documenting teh firm’s trade flows, order routing/execution and trade reporting functions for best practices and irregularities
• Review of teh firm’s fixed income mark-up policies and documenting teh firm’s compliance wif internal policy
• Ensuring compliance wif AML/KYC/CIP laws and rules
• Review of teh firm’s trading activity via teh FINRA’s OATS, TRACE and MSRB’s RTRS and tracking of teh firm’s error trades and error trading policies
• Ensuring compliance of teh Syndicate Department wif respect to new securities issuances
• Training Department Heads and staff wif respect to new regulatory provisions