Administrative Assistant Manager
Resume:
KATHRYN L. SAVAGE
Norwood, MA *2062
************@***.***
EMPLOYMENT HISTORY
April 2008 to December 2008
EATON VANCE DISTRIBUTORS
Compliance Contractor
. Perform ad hoc projects for the Chief Compliance Officer.
. Conducted Branch Inspections.
. Coordinated and acted as Liaison for regulatory examinations and
internal audits.
. Continually update policies and procedures.
. Involved in testing pursuant to FINRA Rule 3012 & 3013.
. Review and monitor gifts, entertainment, and all non-cash
compensation.
September 2004 to February 2008
BAINCO INTERNATIONAL INVESTORS, LLC
NEWBURY STREET CAPITAL, LP
Compliance Manager
. Reported directly to Chief Compliance Officer and Managing Member.
Ran daily Compliance operations for Registered Investment Advisor and
Broker Dealer.
. Ensured firm compliance with MSRB, NASD and SEC Regulations.
. Managed all regulatory inquiries and audits.
. Reviewed daily trading activity for equity, options, mutual funds and
fixed income.
. Evaluated client accounts for suitability and fair and reasonable
commissions.
. Analyzed daily risk assessment reports from firm's clearing entity.
. Monitored fixed incoming trade reporting.
. Conducted quarterly branch audits.
. Reviewed all incoming and outgoing electronic mail.
. Examined employee's personal securities trading and outside business
activity.
. Managed relationship with outside counsel and regulators for customer
complaints and arbitrations.
. Researched private placements for high net worth clients.
. Monitored the firm's Anti Money Laundering Program.
. Maintained Policies and Procedures for Broker Dealer and Registered
Investment Advisor.
. Managed and updated U-4's, U-5's, FORM BD and FORM ADV.
. Developed and conducted the Firm Element for Continuing Education and
periodic compliance training.
. Monitored Regulatory Element for Continuing Education.
. Conducted annual reviews for the firm's Registered Investment Advisor
and Broker Dealer.
. Performed ad hoc projects: Implemented Business Continuity Plan,
Email Retention Program, Anti Money Laundering Program and Prime
Brokerage Arrangements.
August 1999 to August 2004
NASD
Compliance Examiner (October 2002 to August 2004)
Associate Examiner (August 2000 to October 2002)
Examiner Trainee (August 1999 to August 2000)
. Conducted comprehensive compliance examinations of NASD member firms
to determine compliance with applicable NASD, MSRB and SEC Rules;
scope of examinations include analysis of the firm's net capital
computations, advertising, litigation, sales practice, Anti-Money
Laundering compliance and registration.
. Owned responsibility for preparation, fieldwork, exit conferences and
comprehensive written reports for each review.
. Fielded regulatory questions and concerns from NASD members.
. Managed monthly and quarterly review of FOCUS filings and responded to
potential financial issues for 30 member firms.
. Analyzed, responded and monitored monthly and quarterly financial and
operational exceptions reports generated by INSITE surveillance
system.
. Reviewed annual audited reports.
. Participated in ongoing District training of industry related
compliance issues.
August 1996 to July 1999
LINSCO/PRIVATE LEDGER, Boston, MA
Senior Registration Coordinator (December 1998 to July 1999)
. Processed background and credit checks for new registered
representatives.
. Processed new registrations with various states and NASD.
. Prepared state and NASD paperwork for Registered Investment Advisors.
. Monitored continuing education requirements for registered
representatives.
. Attended weekly registered representative review meetings.
. Provided service support to independent brokers.
Operations Specialist (August 1996 to December 1998)
. Provided service support to 2500+independent brokers.
. Acted as liaison between compliance, brokers, and Pershing clearing
house.
. Monitored and approved internal account transfers.
. Prepared, processed and approved court and tax documents for legal
transfer.
. Responsible for DTC deliveries, accommodation transfers and numerous
money desk functions.
August 1994 to August 1996
THE BOSTON COMPANY, Boston, MA
Senior Trust Specialist-Private Asset Management (August 1995 to August
1996)
. Supported assigned officers and provided back up to all Portfolio
Management team members.
. Conducted on-line trading: buying, selling, closing and monitoring
trades.
. Responsible for timely and accurate disposition of work; especially
meeting trading, wire transfer, and cash investment deadlines.
. Assisted in opening new accounts and the receipt of assets through
trades.
. Responded to client requests, researched inquiries and followed up
with written and oral communications.
Administrative Assistant-Investor Services Group (August 1994 to August
1995)
. Supported Vice President of Performance Measurements and Analytic
Group.
. Prepared money market reports utilizing financial software.
. Processed all ad-hoc requests and projects.
EDUCATION
Emmanuel College, Boston, MA
Bachelor of Science in Business Administration, 1998
LICENSES
NASD Series 7
ASSOCIATIONS
Member & Volunteer-National Society of Compliance Professional
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