ALI-SHAFFI UMER

*** * **** ******, *** #**C . New York, NY 10017

abkzcv@r.postjobfree.com . 646-***-****

EXPERIENCE CITIGROUP / LAVAFLOW, INC. New York, NY

**/** - **** ********* - ******** Compliance

Present

Ensure LavaFlow's corporate and regulatory compliance with current US

securities regulation issued by the SEC, FINRA and other self-regulatory

organizations, with a particular focus on Regulations NMS and ATS.

Work with LavaFlow's Chief Compliance Officer and Legal team to

investigate and address regulatory inquiries.

Actively monitor the following to ensure integrity of orders/trades and

compliance with regulations: Limit-on-close/market-on-close orders,

odd-lot orders, locked-crossed markets, wash trades, trade-through

activity, best execution statistics, firm top-of-book quotes and public

quotation displays.

Collaborate with Trading & Operations team to resolve issues involving

'clearly erroneous' trades, self-help declarations, system connectivity

and latencies.

Assist LavaFlow's Chief Compliance Officer in enhancing Written

Supervisory Procedures to ensure strengthened policies and procedures,

resulting in a more robust usage of process and checklist controls.

Perform reconciliations between post-trade reports sent to Trade Reporting

Facility and FINRA's Order Audit Trail System. Devised a process to

efficiently reconcile data and identify discrepancies in trade reporting.

BEAR STEARNS ASSET MANAGEMENT (BSAM) New York, NY

10/07 - Associate - Operational Risk Management

09/08

Actively managed restrictions and guidelines of client accounts in BSAM's

core trading platforms: LongView Trading System (LVTS) and LineData

Compliance (LDC).

Implemented strategy and client investment guidelines in collaboration

with Compliance team by examining investment management agreements and

client correspondences.

Developed daily operating policies and procedures outlining protocols for

managing corporate restricted lists, handling new and existing client

accounts in LVTS/LDC and maintaining client-mandated restrictions and BSAM

strategy restrictions.

Collaborated with Compliance and Portfolio Management teams to ensure

restriction management issues within trading platforms were resolved

promptly.

Assisted with BSAM's migration to an updated trading platform by testing

trading restriction functionality prior to implementation into the

production environment.

DELOITTE & TOUCHE LLP New York, NY

08/04 - Senior Consultant - Enterprise Risk Services, 2006-2007

10/07

Consultant - Enterprise Risk Services, 2004-2006

Worked with financial services clients' management teams on understanding

their control environment and performing high-level process walkthroughs,

communicating testing observations, providing updates on engagement

progress and discussing remedial procedures.

Actively consulted clients on internal controls, identification of

business/technology risks, mitigation of such risks and operating

effectiveness testing methodologies.

Led Sarbanes-Oxley (SOX) testing phase for Bank of Tokyo-Mitsubishi UFJ.

Designated as fieldwork team leader and trained first-year consultants on

audit methodology.

Assisted in performing SOX Readiness procedures, including assessment of

the design and implementation of internal controls.

Performed year-end IT (general computer controls) audits for numerous

clients, including major banks and mortgage houses.

Executed tests of operating effectiveness of IT controls for Type II

SAS70s.

EDUCATION UNIVERSITY OF MICHIGAN Ann Arbor, MI

08/02 - Ross School of Business

05/04

Bachelor of Business Administration (with Distinction), May 2004 -

Cumulative GPA: 3.7/4.0

Emphases in Finance and Accounting

08/00 - College of Literature, Science and the Arts

08/02

Broad liberal arts curriculum with emphasis in Economics - GPA: 3.9/4.0

Phi Kappa Phi Honor Society, James B. Angell Scholar, Branstrom Freshman

Prize

OTHER Series 7 and 63 certified.

Interests include sports, music and eclectic cuisine.

Have lived in Austria, Belgium, Mexico, Netherlands, Pakistan and

Thailand.

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