Analyst Management

JARED R. SHAPIRO

** **** *****, *** ****, NY **956

845-***-****

*********@*********.***

Summary

Experience with Leading Financial Services and Investment Banking

Institutions. Efficient and results oriented individual with a clear

understanding of client services administration.

Experience

Pershing, (A BNY Mellon Co.) Jersey City, NJ March

2007 - January 2010

Compliance Associate/Consultant

. Assist compliance officers with the Pershing Advisor Solutions compliance

program.

. Perform due diligence research of registered investment advisors and

their clients using LexisNexis, ChoicePoint, Complinet, and other

available information on the Internet.

. Experience with investigating and evaluating prospective and existing

client accounts for suspicious activity.

. Respond to alerts from Equifax Portfolio Management System.

. Generate and review daily, weekly and monthly surveillance compliance and

AML reports.

. Responsible for reviewing and monitoring federal fund wire activity for

anti-money laundering purposes.

. Create, update and maintain PAS risk ranking relationship database.

. Actively review and file incident and suspicious activity reports using

Syfact.

. Liaison with various other PAS, Pershing and Bank of NY departments.

UBS Financial Services, Inc., Pearl River, NY

February 2006 - March 2007

Compliance Analyst

. Responsible for assisting management with compliance and operational

procedures.

. Accountable for assuring that financial advisors are in compliance with

registration and licensing requirements.

. Generated compliance and portfolio reports for management.

. Liaison with anti-money laundering division.

. Performed cashier tasks when needed.

. Reconciled syndicate products to ensure that client share values are

correct.

. Handled all accounts payable functions for the office.

. Served as Client Service Associate for financial advisors when necessary.

Minolta, Ramsey, NJ

February 2004 - January 2006

Accounts Analyst/Consultant

Generated accounting reports for purchase orders utilizing database

applications.

. Executed client and vendor financial transactions for the sale, lease,

cancellation and renewal of purchase orders.

. Consulted with national account managers and account representatives

concerning the shipping and billing of purchase orders.

. Reconciled client account disparities.

. Acted as Liaison between clients and regional sales offices.

Stan Dublet Associates, Mahwah, NJ April 2002 -

January 2004

Consultant

. Coordinated and set up software presentations to clients.

. Contacted customers to interest them in developing a financial software

program for their business.

. Assisted clients with any questions pertaining to their accounts.

Thomson Financial, New York, NY October 2000 - March

2002

Product Analyst

. Assisted clients with information pertaining to initial public offerings

and other new issues of securities.

. Set up corporate syndicated deals and wire transactions for fixed income

and equity products.

. Interacted with trading floor and operations regarding financial and

operational matters.

. Liaison between clients, brokers and traders.

. Consulted with technology department to help clients resolve system

problems.

CIBC Oppenheimer Corp., New York, NY March 1998 -

September 2000

Operations Analyst

. Executed payments to clients for bond redemptions, U.S. and foreign

maturities.

. Determined account cash flows and executed position adjustments for stock

mergers, reverse splits, name changes, corporate actions, fixed

income/equity products and tender offers, both physical and book entry

through ADP, DTC and transfer agents.

. Assisted traders, brokers, and portfolio managers in ascertaining client

portfolio information.

. Reconciled internal suspense accounts on a weekly basis.

. Researched the values of stocks and securities using the Internet and

related periodicals.

Education

Ramapo College of New Jersey, Mahwah, NJ

Bachelor of Science, January 1998

Skills

Microsoft Office, Outlook, Internet Explorer, Lotus Notes, Netscape

Navigator, AST, NetExchange Pro, Avenue, DTC, ADP, Advent, Streetscape,

FBSI- Fidelity Investment Services Clearing System, ConsultWorks 2, Dalcomp

Syndicator System, Adobe Acrobat, Schedule, File Maker Pro, Bridger Insight

XG - ChoicePoint, Siebel, Syfact, WebCrd, LexisNexis, Complinet, Bloomberg.

Strong ability to grasp in house applications.

Contact this candidate