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Compliance Analyst

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Country: United States
State: Massachusetts
City: boston
ZIP: 02115
Posted date: 10/13/2009   all resumes
Contact Info: ********@******.*******.***
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Deborah J. Alexander

*** ********, #*

Boston, MA 02115

(781) ***-****


Compliance professional with experience in financial services and telecommunications/utility industries. Has ability to fully understand a system, and its accompanying internal controls, risks and regulations. Strengths are ability to take direction well, relate well to people, intellectually curious and adaptable to a variety of professional environments.


MA in International Economics and Finance, Brandeis University, International Business School, Waltham, MA

BS in Public Affairs, Indiana University, School of Public and Environmental Affairs, Bloomington, IN


Bloomberg, Reuters, STATA, SEI, Regulatory DataCorp, Siebel CRM, Lexis-Nexis, SQL, Microsoft Word, Excel, Access, Power Point


BNY Mellon Wealth Management (Staffmark Contractor), Boston, MA 2008-2009

Quality Assurance Analyst – Wealth Management Control Group (August 2008 – July 2009)

* Reviewed "Know Your Customer" information (including Source of Wealth) and related account documentation for existing medium and low risk high net-worth customers as defined by the Anti-Money Laundering Policy.
* Conducted independent due diligence on the accountholder and relationship, as well as interviewing business line Portfolio Managers.
* Completed special projects.

State Street Corporation (after merger with Investors Bank and Trust), Boston, MA 2007-2008

Compliance Officer – Wealth Manager Services (October 2007 – January 2008)

* Assisted with integration of former Investors Bank and Trust Institutional Custody Department into Wealth Management Services.
* Assisted with preparation for internal audits, and Federal Reserve Board audits.
* Provided Anti-Money Laundering review of State Street/Investors Bank and Trust clients.
* Completed other compliance projects.

Compliance Officer – State Street Securities Finance (July 2007 – October 2007)

* Monitored compliance of former Investors Bank and Trust Securities Lending Trading and Operations Desks, included daily reporting and testing pursuant to Rule 38a-1 of the 1940 Investment Company Act.
* Provided Anti-Money Laundering review of Investors Bank and Trust Securities Lending clients before their integration to State Street Securities Finance program.
* Assisted former Investors Bank and Trust Foreign Exchange Trading and Operations Desks with testing pursuant to ERISA.
* Completed other compliance projects.

Investors Bank and Trust Company, Boston, MA 2006 – 2007

Senior Compliance Specialist – Global Treasury Operations (January 2007 – July 2007)

Compliance Specialist – Global Treasury Operations (July 2006 – January 2007)

* Created narrative Risk Manuals and flow charts identifying internal risks to Investors Bank and Trust for Global Treasury/Global Treasury Operations.
* Performed testing pursuant to Rule 38a-1 of the 1940 Investment Company Act.
* Monitored compliance of Global Treasury/Global Treasury Operations desks (Asset Liability Management, Broker/Dealer, Foreign Exchange, Investment Portfolio, Money Desk, Securities Lending and Wire Room Operations) with regulatory and internal requirements.
* Monitored compliance of Global Treasury/Global Treasury Operations desks with Sarbanes Oxley requirements.
* Performed compliance projects as requested by Global Treasury/Global Treasury Operations Management.
* Monitored daily compliance reporting for all Global Treasury desks.

Commonwealth of Massachusetts - Department of Telecommunications and Energy, Boston, MA 2004 – 2006

Compliance Analyst - Consumer Division (March 2006-July 2006)

* Researched and enforced Department Orders and Regulations; protected consumers from harmful practices by utility companies.
* Developed evidentiary questions; participated in hearings; and wrote economic and policy analyses.

Research Analyst - Telecommunications Division (June 2004-February 2006)

* Supervised audit of Verizon’s Performance Assurance Plan: monitored Verizon’s compliance with Performance Assurance Plan and Consolidated Arbitration Metrics; supervised an audit of Verizon’s operational systems completed by a Big 4 accounting firm; independently analyzed and calculated bill credits that Verizon paid to competitors.
* Monitored Verizon’s compliance with Section 272 of 1996 Telecommunications Act: supervised an audit conducted by a Big 4 accounting firm; independently analyzed and calculated data to ensure that Verizon was not engaging in anti-competitive practices in Massachusetts.
* Analyzed tariff proposals; approved interconnection agreements; analyzed economic impacts of Federal Communications Commission Orders; developed evidentiary questions; participated in hearings, and wrote economic and policy analyses.

Commonwealth of Massachusetts - Division of Banks, Boston, MA Summer 2003

Intern - Consumer Compliance Unit, Financial Institution Supervision

* Analyzed balance sheets and credit reports to ensure that Mortgage Broker Licensee applicants complied with Commonwealth Regulations.
* Used valuation methods to determine whether individual Mortgage Lenders were financially sound relative to other Mortgage Lenders within the Commonwealth.
* Performed internet research to determine whether banks in Massachusetts were federally or state chartered.

Cellular Telecommunications and Internet Association, Washington, DC 2001 – 2002

Program Database Coordinator – The Wireless Foundation

American Jewish Congress, Washington, DC 2000 – 2001

Special Assistant – National Capital Region

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