T iffany Torrence- Forde

T ab9owt@r.postjobfree.com

609-***-****

* **** **** *****, ** 08628

P ROF I L E

A dynamic and highly self motivated compliance professional with significant years of relevant experience

i n procedural development, project management, t ransaction analysis, and t rade surveillance.

Demonstrated effective strategy implementation, while providing high-quality guidance to executive

management in addition to facilitating projects. A creative problem solver and team player that also

works well independently.

KEY AREAS OF SPEC IAL TY

D UE DIL IGENCE PEP OFAC KYC AML PROJECT MANAGEMENT T RADE

S URVEI L LANCE

RE LATE D EXPER I ENCE

BANK OF N EW YORK/ME L LON W ilmington, D E

2013

Regulatory Operations/ Compli ance Surveillance (contr act)

o Coordinate and review PEP, CIP, OFAC and FINCEN Alerts utilizing various in -house systems and databases for

third party clients.

o Managing workflow production and referrals that meet the criteria for investigation.

o Strong understanding of USA PATRIOT ACT

o Anti-Money Laundering Policies and Bank Secrecy Act

o Regulatory Policies

W ELLS FARGO, N.A. /WACHOV IA BANK, N.A. Philadelphia,

PA 2009-2010

Anti-Money Laundering Analyst (contr act/consultant)

o Reviewed and investigated unusual global wire transaction activity consistent with the bank's established core

anti-money laundering program and Bank Secrecy Act.

o Conducted research through available bank systems, the internet & multiple databases consistent with the

resolution of investigations.

o Documented and reported investigation findings in the case management system and prepared SARs as required

MORGAN STANLEY I N V EST M E N T MANAGE ME NT, West Conshohocken, PA 2006-2008

US I ntermedia ry Due D i l igence Process Owner / Project M anager

o Developed and maintained the technology solution for tracking and monitoring Due Diligence cycles in addition

to their results and audits/visit summaries;

o Conducted due diligence on Mutual Fund Intermediary Clients per Rule 22c-2 for defined contributions, retail

investment advisor, and high- end planner channels.

o Reviewed and determined if the following aspects of business were in line with Morgan Stanley’s procedures:

Anti-Money Laundering (AML),Business Continuity Plan (“BCP”), Know Your Customer (KYC), Sales

Practices, Compliance, Operations, and Legal ;

o Developed and managed the Client Take On (“CTO”) process for new business through the high end planner/RIA

channel by coordinating with internal groups such as; sales, client service administrators, compliance and legal;

o Developed and maintained the operating procedures and practices improving quality and increasing the

productivity of the Intermediary Due Diligence group;

o Reviewed/maintain due diligence questionnaires in addition to SAS 70 audits utilizing risk based standards to

determine the firm’s next review cycle based on responses provided, assets under management, and potential

reputational risk from the client found in the media or FINRA enforcement reports;

o Researched and prepared findings memos for the Market Timing Monitoring Committee (“MTMC”), and

conferencing with its members;

o Managed multiple projects within MSIM Operations internal groups and conducted project reviews with

stakeholders.

P H I LA DELP H IA STOCK EXC HANGE,

P hiladelphia, PA 2001 2003

Examiner

o Determined the financial condition of member firms by examining the books and records while conducting

routine, cause, or branch examinations of the Exchange’s Designated Examining Authority (DEA) firms;

o Reviewed equity figures before the opening of the market to determine whether or not the DEA firms have met

equity requirements;

o Reviewed annual audits submitted by DEA firms, fielding requests for information, forms, and rule

interpretations;

o Prepared all findings letters, Business Conduct Committee (BCC) Memorandums, met with members and

participated in conferences with Enforcement regarding any open investigations;

o Reviewed all marketing submitted by the Exchange’s Designated Authority (DEA) firms via trade journals,

online, and newspapers;

o Assisted in WebCRD data input for registration and termination of member firms .

M a rket Surveill ance Investigator

o Conducted daily investigations on traders that violated the rules governing the trading floor and

the Securities Exchange Act of 1934;

o Validated the accuracy of data captured and then evaluating, processing and composing collected

data for report presentation and trend analysis, Monitored Specialists, Market Makers and other

floor professionals;

o Monitored trade execution of all member firms under Firm Quote Rule #1080;

o Evaluated and processed collected data for report presentations, and presented data to th Exchange Enforcement

Counsel for formal disciplinary proceeding.

D ATEK ON L I N E BROKERAGE SERV ICES,

I selin, N J 2000-2001

B rokerage Support Associate

o Acted as first point of contact answering, evaluating, and responding to telephone and email inquiries from

customers concerning their brokerage accounts;

o Assisted customers with margin calculation and options trading issues as well as reviewing and solving other

trading inquiries;

o Evaluated customer concerns to resolve before escalating to Management,

o Honored by the President of Datek and appointed to the Customer Experience Department acting as a liaison

between customers and the corporation, assisting with the creation of new ideas to make the company more

productive.

A DD I T IONAL EXER I ENCE

A’Janae, I nc. B usiness Owner, P ennington,

NJ 2006- P resent

M edical Esthetician M a keup Artist

o Providing clinical skin care services to clients;

o Provide Medical Esthetic Services to Princeton Plastic Surgery Associates patients via: chemical and manual

exfoliation, derma-planning, and assisting the Surgeon with IPL and Laser Skin Resurfacing procedures;

o Providing makeup/ light hair for Advertising Editorial TV/Video Runway Bridal;

o Expert Skincare/Beauty Contributor: EBONY Magazine Member of a small national team of Dermatologists,

Skincare Specialists, and Makeup Artists that provide expert advice on skin care and makeup;

o Client Relationship Management, marketing, bookkeeping

N J D EPT. OF H EALT H AND SEN IOR SERV ICES,

T renton, N J 2003-2006

Office of the Commissioner, Policy Analyst/Project M an ager

o Assisted Senior Policy Advisor with strategic initiatives set by the Commissioner acting as coordinator/facilitator

for the Department on various projects;

o Initiated, maintained and implemented project plans set by the Office of the Commissioner,

o Coordinated communication across multiple groups, by tracking and resolving issues, monitoring progress against

milestones and ensuring project completion within specified timeframe.

EDUCATION

CAPRI INSTITUTE

2010 NJ State Licensed Esthetician Kenilworth, NJ

UNIVERSITY OF MARYLAND UNIVERSITY COLLEGE

2004 MS Management/ Financial Management Adelphi, MD

UNIVERSITY OF MARYLAND EASTERN SHORE

1999 Bachelors of Science Degree- Business Administration Princess Anne, MD

SKILLS

Microsoft Office, Visio, Project, SharePoint, Charles River, Emerald, Fortent, Lexis Nexis, Mantas, SURPAS, FSR

REFERENCES

AVAILABLE UPON REQUEST

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