An experienced financial compliance professional with a successful career managing risk, performing due diligence, leading projects and handling time-sensitive, complex investigations. Seeking a role where I an utilize my innate ability to improve processes and make procedures more efficient while protecting the integrity of firm and the customers it serves.
Proficient in Microsoft Office, HP Supervisor, APAMA, NASDAQ SMARTS, CA Dataminder iConsole (Orchestria), FINRA CRD Gateway.
Excellent work ethic
Excellent attention to detail
Energetic and proactive
Compliance Surveillance Manager, 05/2016 to 08/2016 JPMorgan Chase – Jersey City, NJ
Responsible for review of system flagged electronic communications for the Commercial Bank.
Lead a project to fine tune the escalation operating model for electronic communication alerts, population management and reconfiguration.
Developed new hire training for surveillance analysts.
Participated in Proof of Concepts for new trade and communication surveillance tool with Business Heads, Regional Head of Surveillance and IT.
Surveillance Manager, 05/2012 to 05/2016 Royal Bank of Scotland – Stamford, CT
Conduct and Regulatory Affairs (C&RA) point person for all trade and communication surveillance activity in the United States.
Supervised a team of 15 surveillance analysts and performed second level reviews of raised exceptions. Reduced errors by team members by 50% over the course of last 12 months.
Responsible for investigation, follow up, closure and reporting on all escalated exceptions.
Subject matter expert on CA Dataminder (Orchestria) the firm's electronic communications monitoring system. Presented functionality to FINRA and Federal Reserve Bank of Boston as well as Internal Audit.
Performed Quality Assurance review of surveillance analysts as well as Foreign Exchange Orchestria Reviewers, provided feedback and reported to management on a monthly basis.
Developed and presented yearly training for Orchestria Reviewers as well as one on one sessions for new Reviewers.
Implemented a series of automated email notifications sent to Reviewers out of compliance with their reviews which satisfied a FINRA Matter Requiring Immediate Attention.
Prepared ad hoc reports and monthly MI for senior management, internal audit, legal and regulators.
Responsible for periodic reviews of various surveillance policies and procedures and updated as needed.
Designed user interfaces allowing streamlined updates to the Orchestria Hierarchy, prevention of abandoned events as well as a tool to white-list certain participant domains involved in an electronic event.
Senior Consultant - Global Control Room, 08/2011 to 05/2012 Royal Bank of Scotland – Stamford, CT
Supervised on-boarding of RBSA Group into new Personal Account Dealings Policy Standard.
Lead role in addressing documentation gap for associates' non-discretionary personal accounts.
Initiated and supervised data clean-up for associate accounts in firm's personal account tracking system.
Identified personal accounts held at non-approved brokerage firms and informed associates they must close or properly document as an exception.
Trade surveillance of personal account activity.
Reviewing statements and contract notes for transactions versus the firm's global restricted and watch lists.
Senior Consultant - Investor Services, 04/2009 to 01/2011 Credit Suisse – New York, NY
Supervisory role in all aspects of AI Hedge Fund financial reporting.
Achieved goal of transitioning these processes from CS AI team to administrator well before established deadline.
Spearheaded the documentation and implementation of process and controls to provide security of sensitive information and 100% accuracy of financial statements based on client and legal requirements.
Managed team of four in Hyderabad, India responsible for primary review of administrator generated statements, assigned workload, resolved day to day issues via conference calls or WebEx sessions when needed, provided guidance as well as insured timely delivery to investors.
Coordinated the creation of monthly, quarterly and yearly financial investor statements, reviewed for contact information accuracy, provided approval and insured prompt delivery via email and internal secure website for internally administered hedge funds.
Responsible for monthly Net Asset Value (NAV) reporting for Private Bank clients for all firm offered hedge funds.
Senior Consultant - Investor Operations, 04/2007 to 01/2009 Credit Suisse – New York, NY
Primary contact in Investor Services for the Private
Equity - Customized Funds Investment Group (CFIG) Central point of contact for
all new investors, managed portfolio clients, separate accounts, middle market,
retail and institutional private equity clients.
Stepped outside of role to assume ownership of onboarding
clients into newly formed private equity funds and revolutionized the position
to the point where the six month project turned into a three year stint.
Updated the group's procedure manual and work flow chart
for new investors coming to the Firm as well as existing clients looking to
Successfully processed 200+ new subscriptions in a one
month period while facing closing deadline instituted by the General Partner of
the Private Equity fund.
Client Identification/Anti Money Laundering/Know Your
Client (KYC) processing, reviewing various formation documents, LPAs, LLC
Agreements, Structure Charts, Tax Forms, etc.
Worked closely with internal AML and compliance teams to review these
formation documents, taking a risk based approach to coordinating approval of
new accounts for individuals, private companies, investment vehicles, nominee
accounts, as well as performing PEP checks.
Trained and mentored Investor Operations team from
Hyderabad, India on a daily basis to insure a smooth off-shore transition. Audit of data entry to insure accuracy of AI
databases for accounting and reporting purposes. Held weekly conference calls and WebEx
sessions when necessary to insure consistency in workflow.
Lead Underwriter, 04/2002 to 03/2007 Argent Mortgage Co. – White Plains, NY
Managed the Eastern Region underwriting group.
Assisted senior management in assessing office processes & personnel.
Trained new underwriters, reviewed their files, provided guidance in decision making and motivated them reach daily volume goals.
Reviewed all branch declines for potential counter-offer opportunities.
Bachelor of Science: 1998 University at Albany - Albany, NY