Paulina Makrillos
Brooklyn, NY 11228
ab8t2y@r.postjobfree.com
WORK EXPERIENCE
SMBC Capital Markets Inc. (2007 – Present)
Legal Compliance / KYC AML Analyst
• Knowledge of UK and Japanese FSA requirements. Knowledge of MiFID requirements as required by
JMSLG and UK FSA. Consideration and application of JMSLG regulations as they relate to our London
Base.
• Knowledge of KYC requirements relating to the Investment Advisors Act and Enhanced due diligence for
Hedge Fund Activities.
• Implementation of the new FINRA Rule 2111 for Broker Dealers’ expansion of client suitability.
• Provided guidance and training to most staff and new hire members on any KYC and AML related issues
and advised of any new reporting requirements.
• Knowledge of CIP and SARS reporting with relation to our Compliance Group. Continued monitoring of
PEPS.
• Conducted Risk Ratings and performed background searches for due diligence using sources such as
Bridger and Google Negative News search for pre trade requirements. Approved marketers based on this
KYC supplied.
• Managed KYC files in RCD.(internal AML Case Management database) Also monitored 30 day extension
activity to ensure all cases remained AML Compliant.
• Monitored monthly USA Patriot Certificates and updated/verified new Certificates as needed.
• Responsible for handling of AML/KYC requirements pertaining to all sensitive Underwriting deals.
• Responsible for initial KYC training and implementation of KYC standards to all New Business marketers.
• Responsible for KYC verification of all New Business sectors. Comprehensive knowledge of the KYC
process in the Interaction of derivatives and secondary markets. (Completed both BSA and OFAC training
modules as well as ongoing AML/ Compliance webinars when available)
• Knowledge and daily use of most information search engines. (Bankers Almanac, OneSource, LexisNexis
and Companies House, other internet searches)
• Assisted with and actively involved in the resolution of any KYC issues raised by regulators and auditors
during the review process, implemented any necessary changes.
• Assisted in development of Compliance and Operations Manuals and Supervisory Procedures as related to
the KYC process.
AXA Advisors, Inc. NY (2006-2007)
New Accounts / Trade Support
• Worked primarily with mutual fund accounts.
• Responsible for all new account set up and approvals.
• Liased with brokers to satisfy fund account document requirements.
• Managed all incoming documents, scanned to database, and allocated to appropriate departments.
• Networked with Trading Group and Cashiering to ensure checks and orders were properly allocated to their
respective accounts daily.
Signature Securities Group, New York, NY (2003-2006)
Cashiering /Margin Clerk
• Reconciled daily Settlement Accounts.
• Processed all checks, Fed Wires, EFT and IBP disbursements for the field. Deposited certificates thru DTC.
• Monitored daily DVP rejects and interacted with institutional trading to resolve trade disputes and DK’s
Paulina Makrillos
1470 83rd Street, 1 Fl.
Brooklyn, NY 11228
ab8t2y@r.postjobfree.com
• Maintained Reg T and margin requirements (as well as any Calls) for all accounts.
• Handled Foreign Exchange wire requests daily.
Various Consulting /Freelance Jobs – NY (2001-2003)
TD Waterhouse (NISC) New York (2000-2001)
Margin Associate
• Maintained various exception reports regarding cash and margin accounts pursuant to NYSE rules and
regulations.
• Issued House, FED, NYSE and Day Trading Calls and sent out mailgrams accordingly.
• Processed Day Trading Calls on ADP using current Rule 431 guidelines.
• Monitored extension and 90-day violations. Processed all applicable journal requests from field.
Chase Investment Services Corp.- New York (1997-2000)
Settlements /Margin Clerk
• Settled trades in accordance to Reg T requirements.
• Comprehensive knowledge of Margin and Credit Control process.
• Processed ACH rejects, IBP and Fed wire money movements.
• Reconciled Chase Settlement Account daily.
Patrick Alexander and Co., Inc.- New York (1996)
Administrative Assistant / Office Manager
• Submitted U-4 and U-5 forms and fingerprinting of employees.
• Maintained payroll through Paychex as well as Accounts Receivable /Payable.
• Assisted Principals and Compliance Officer in all aspects of firm registration with NASD, MSRF, SIA and
CRD.
• Created the Company Business Plan and Procedures Manual (for the start-up firm)
• Assisted Syndicate with any IPO preparations as needed.
Gruntal & Co., Inc.- New York (1995-1996)
Retail Sales Assistant
• Managed client accounts- assisted retail and institutional brokers with all aspects of maintaining clients’
accounts from the New Account /lead process to trading and finally settlement and/or adjustment of trades
if needed.
• Submitted ACAT transfers and new account registrations as required.
• Assisted brokers with IPO’s and private placements.
EDUCATION
Kingsborough Community College, Brooklyn, NY (1991)
Associates of Science Degree in Business, Management & Finance
New York Institute of Finance, New York, NY
Received Certificates for Completion of Seminars in Credit Control (2001)
- And Margin Options
- Currently studying for the CAMS registration as well as the Series 7 Licensing exams.
Paulina Makrillos
1470 83rd Street, 1 Fl.
Brooklyn, NY 11228
ab8t2y@r.postjobfree.com
COMPUTER SKILLS/KNOWLEDGE BASE/CREDENTIALS
• Microsoft Office (Word, Excel, OneSource, Bankers Almanac, LexisNexis, Google and other search
engines)
• Familiarity with Lotus Notes and Outlook email systems as well as ILX and ADP (back office systems)
• Bilingual – Fluent in Greek
• Licensed Real Estate Salesperson
• Notary Public (Member of NNA, Certified Independent Loan Signor)
• Certified Image Consultant.