Manager Assistant

Kelly Aliperti

** ********* **** ~ Aberdeen, NJ *7747

908-***-****~***************@*****.***

Objective

To obtain a position within the financial industry where I can continue to

gain experience in government matters, implement innovative and effective

programs and train colleagues and other team members of the organization

for the betterment of the company.

Education

Graduated 2008 WAGNER COLLEGE~ Staten Island, NY

Masters of Business Administration

Graduated 2001 WAGNER COLLEGE~ Staten Island, NY

Bachelors of Arts in Psychology

Related Experience

July 2006- Dec. 2007 MORGAN STANLEY ~ Brooklyn, NY

Compliance Manager ~ responsibilities included:

. Daily loan administration of syndicated credit

facilities;

. Interpreting and ensuring compliance with the terms of

the related credit documents as it related to daily

workflow;

. Acting as a liaison between Borrower and Syndicate;

. Maintaining system integrity of Loan IQ by updating loan

information with pricing and tenor information;

. Answering queries from external participants.

Aug. 2005- June 2006 US TRUST COMPANY OF NEW YORK ~ New York, NY

Compliance Officer ~ responsibilities included:

. Managing and monitoring the implementation of US

Trust's Investment Adviser Code of Ethics and Code of

Business Conduct and Ethics;

. Supervising daily pre-clearance and monitoring of all

personal trading by US Trust personnel;

. Supervising annual and quarterly certification process

for new and existing employees;

. Creating, analyzing and reporting IACOE violations and

sanctions metrics for senior management.

Apr. 2003 - Aug. 2005 KNIGHT EQUITY MARKETS, L.P. ~ Jersey City, NJ

Compliance Analyst ~ responsibilities included:

. Researched and responded to various regulatory phone

inquiries regarding real time trading activity;

. Monitored reviews conducted by the trading desk

supervisors to ensure accuracy and compliance with

regulatory rules;

. Analyzing NASD Report Cards to identify problem areas

for the firm and ensured that the problems identified

were resolved;

. Managing college interns and providing them with

guidance on various projects and tasks.

Jan. 2000- Apr. 2003 NASD DISPUTE RESOLUTION ~ New York, NY

Legal Assistant ~ responsibilities included:

. Maintaining a case load of approximately 150 pending

securities disputes between NASD members and public

customers;

. Managing individual cases from intake approval to

conclusion of case;

. Interpreting the NASD Code of Arbitration Procedure for

formal motions and administrative requests from the

public and NASD members;

. Fielding approximately 100 calls per week instructing

the public and attorneys in initiating dispute

resolution.

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