Scott A. Ezzati

** ********* ******, ***. *-*

Watertown, MA 02472

acdh95@r.postjobfree.com / 858-***-****

PROFESSIONAL EXPERIENCE

Loomis Sayles & Co. - Boston, Massachusetts

Sr. Legal Analyst

06/13-12/13

. Conduct the review of institutional marketing material for the RIA

with a focus on Fixed Income products such as High Yield, Multi Sector

and Corporate bonds

. Act as a liaison between the Legal Review Team and the RFP marketing

group, as well as update the company Legal and Compliance RFP library

. Conduct review of Market Commentaries

. Creating training presentations outlining regulatory

requirements/company policies and procedure, and subsequently

conducting the training for new company personnel

. Work with other departments to update company policies and procedures

for the Foreign Account Tax Compliance Act (FATCA)

. Work with the company GIPS specialists to ensure all marketing

material was compliant

. Create a disclosure list for all company institutional marketing

material

Family owned Hospice Care, Orange County, California

Consultant

04/12-04/13

. Attended to all technical matters regarding business documentation

. Acted as liason to all outside vendors and legal consultants to assure

timely completion of building construction and documentation filings

. Acted as liason to all state entities to ensure timely filing of all

documentation

Liberty Mutual - Boston, Massachusetts

Sr. Compliance Lead Analyst

09/11-03/12

. Monitored trading of securities in all Liberty Mutual Group Investment

Advisor ("LMGINV") International Portfolios (Approx. $70 billion in

total assets)

. Supervised/Reviewed the trading of all securities in International

Portfolios to ensure all investments were in compliance with Client

Portfolio Management Agreements ("PMAs") using the Blackrock supported

trading system

. Supervised all International Portfolio Investment Guidelines ("IGs")

to ensure that all contract language was in accordance with Client

PMAs

. Coordinated and ran all meetings between the Legal and International

Investment teams in the initial development of PMAs and IGs

. Drafted, implemented and enforced all rules on the BlackRock trading

system to ensure Client Portfolio trading was in accordance with the

respective PMA and IG

. Researched credit rating of various securities on the Bloomberg system

to ensure compliance with Client PMAs and IGs

. Created, supervised and delivered training program within the LMGINV

to ensure compliance with SEC guidelines for all employees

. Identified various areas of risk where the Compliance Department at

LMGINV required enhancement and drafted policies/training to mitigate

those risks in accordance with SEC Rule 206(4)-7

. Trained and supervised all new LMGINV Access Persons to ensure proper

online monitoring of their personal trading accounts in accordance

with industry regulations

. Drafted Company Policies in accordance with SEC Rule 206(4)-7 as well

as supervised all LMGINV gifts and entertainment activity to ensure

compliance with SEC requirements

MetLife - Boston, Massachusetts

2006-2011

Sr. Compliance Analyst (11/07-09/11)

. Independently managed the review and approval of advertising and sales

material in accordance with FINRA rules 2210 & 2211, NAIC Model

Regulations and the 1940 Advisors Act (and in accordance with SEC Rule

206(4)-7)

. Prepared state regulated advertising filings and responded to state

comment letters, if any, with appropriate business clients

. Monitored changes in regulations and the financial industry affecting

the advertising of specific products, and provided updates to clients

regarding the same

. Developed new compliance systems tools and revised existing programs

to control and monitor advertising/sales literature

. Provided supervision for various compliance requirements and prepared

training material for new compliance affiliates located in India

. Conducted supervisory review of radio shows for company

representatives and provided training to local compliance directors

for more effective monitoring of the shows

. Reviewed company policies and procedures with respect to regulatory

requirements and provided revisions as they were needed

. Conducted post review email surveillance of company representatives

. Prepared regulatory FINRA and the State Departments of Insurance

filings

. Supervised compliance team with respect to social media monitoring of

company representatives

Sr. Contract Analyst (11/06 - 11/07)

. Acted as a liaison between Contract Bureau and all US States to

provide information concerning current state laws and regulations

affecting product development, submission procedures and existing

insurance policies to project teams

. Drafted and reviewed new and revised contract policies as well as all

related forms

. Created special reports required by the states for market conduct

examinations

. Led communication efforts between Information Technology and the

Insurance Contract Bureau departments pertaining to the continuous

improvement of consumer products and ongoing product development

Integrity Interactive - Waltham, Massachusetts

Project Manager 2005 - 2006

. Acted as liaison to internal technical development and Compliance &

Ethics teams to communicate data and program requirements

. Project Managed all aspects of new and supplemental web-based software

deployments for training and certification of client employees on

federal compliance rules and regulations

. Facilitated client meetings to gather program requirements to ensure

successful deployments of web-based software

. Conducted periodic quality assurance and new business development with

clients

. Trained clients on custom built software to analyze program results

Village Bank - Newton, Massachusetts

Bank Supervisor 2004 - 2005

. Maintained daily branch operations in compliance with banking rules

and regulations

. Managed customer facing branch personnel

. Facilitated exceptional customer service and issue resolution

processes

. Provided mentorship and training for staff development

. Was responsible for all business development with services and

customer accounts

BMW of San Diego - San Diego, California

Finance Manager 2002 - 2004

. Qualified finance applicants for automobile loans through BMW

Financial Services

. Marketed BMW products and services to new prospects and existing

clients

. Communicated with multiple lending institutions to provide applicant

information for potential loans

. Was responsible for customer service issues and resolution

Morgan Stanley - La Jolla, California

Financial Advisor

2000 - 2002

. Built and ran a successful business in various market conditions for

clients (Approx. $6 million of assets under direct management)

. Managed a strong marketing team for various Financial Services to high

net worth clients

. Organized and presented Investment Seminars

. Performed in-depth market analysis and portfolio review

. Ensured correct preparation of monthly and/or quarterly client

statements

CERTIFICATIONS

. Series 6 and 26

EDUCATION

Class of 1998, Bachelor of Arts in Philosophy, Honors Program, Wesleyan

University, Middletown, CT

Class of 2010, Juris Doctor, Suffolk University Law School, Boston MA

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