Administrative Assistant High School

Jerry Legrand

**** ***** ****** #**

Brooklyn, New York 11234

718-***-**** . ********@*****.***

SUMMARY

Compliance Professional with

PROFESSIONAL EXPERIENCE

Merrill Lynch, New York, NY

2007-Present

Compliance Associate, Private Wealth Management

. Ensure branch personnel adhere to International, Corporate and Division

level policies, principles and standards of ethical conduct both through

observation, intervention and personal example in ways that minimize

regulatory, financial and reputational risks.

. Review trading activity, market data and surveillance reports to

determine compliance with SRO rules and federal securities laws. Identify

and effectively escalate potential issues; suggest potential corrective

actions to address issues.

. Responsible for a wide variety of delegated compliance, administrative

and business functions related to the Director's overall managerial

responsibilities for the parent and associate offices.

. Utilize tools available to review, monitor and document compliance

related reviews daily, weekly and monthly in preparation for annual

branch audits or regulatory visits.

. Partner closely with various departments of the firm to include Product,

Legal, Compliance, Anti-Money Laundering, International Banks

(Switzerland and London) as well as senior management to resolve

regulatory issues, negotiate settlements, pro-actively identify issues

and exposure items.

New Account Controller, Private Wealth Management

2000-2007

. Review and process all corporate, individual and estate accounts.

. Review and approval of KYC documentation, information, and research for

new and existing clients based on Merrill Lynch AML Compliance KYC

Policies and Government guidelines

. Significant background and understanding of IRS Forms W-8, the review and

approval of the forms, and application of appropriate withholding and tax

treaties.

. Coordinate with foreign legal counsel for review of international

corporations.

. Assist in reviewing banking documentation for loan and deposit

facilities.

. Implement effective changes to existing guidelines.

. Develop new procedures to improve new accounts processing.

United States Bureau of the Census, New York, NY

2000-2000

Administrative Assistant

. Conduct telephone interviews

. Research and date entry

. Design an effective filing system

MISCELANNEOUS ACTIVITY

Church of Lord, Brooklyn, NY

2000-Present

Board of Trustee Member and Youth Leader

. Teach life application to teenagers.

. Select and purchase all computers, video and audio equipments.

. Generate and distribute contribution receipt.

. Oversee the rental of all church properties.

. Organize group to support soup chicken in various communities.

EDUCATION

Hunter College

Manhattanville College

Kingsborough High School for the Sciences

LICENSES

Series 7, 66 and 9

Open Window to take Series 10

AWARDS

2002 Employee of the Year, 2003 Team of the Year, 2006 Director's Award:

Employee of the Year

COMPUTER SKILLS

Proficient in Windows 7, Microsoft Word, Microsoft Excel, Microsoft Power

Point, Microsoft Outlook, XP Professional, ACT, Visual Basics, Photoshop

and Video Editing.

Contact this candidate