Director Executive Assistant

Lotteann Gonzalez

Experienced Professional: Financial Services Industry

Contact Number: 845-***-****

abk517@r.postjobfree.com

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Professional Experience

INVESCO INSTITUTIONAL (N.A.), INC., New York, N.Y.

9/2007 - 1/2009

Staff Compliance Officer: NY Compliance Division

. Responsibilities entailed performing daily trade surveillance for three

(3) business units (Quantitative Investment Strategies, Bank Loan and

Private Equity/Hedge Funds (WL Ross & Co. LLC.) as well as employee

trading ("Code of Ethics") in consideration of information barrier

procedures and Restricted/Watch Listings.

. Constructed, maintained, and advised re: the Firm's

Restricted/Watch Listings.

. Created and monitored investment management guidelines for institutional

accounts (i.e. state and ERISA pension plans), Mutual Funds, Foundations

etc. utilizing the Charles River Database ("CRD").

. Monitored principal transactions under the Investment Advisers Act of

1940 and Investment Company Act of 1940 (i.e. daily review of cash

reconciliation reports, transaction reports, approval of summary reports

etc.). Researched and logged trade errors and negotiated discrepancies.

. Monitored e-mail surveillance system in order to detect possible cross-

border communication (breaches) between employees.

. Provided liaison services and memorialized meeting details

between private and public employees.

. Organized and provided Compliance training sessions to new hires,

processed questionnaires (i.e. brokerage activities and holdings, outside

business affiliations, trade approval requests etc.)

MORGAN STANLEY & CO. INC., New York, N.Y.

3/2006 - 5/2007

Associate Compliance Officer - Regulatory Inquiry Group

. Responsibilities entailed replying to regulatory inquiries received from

the SEC, NASDR, CBOE, NYSE Reg, AMEX, ISE etc. Regulatory inquiries

addressed Insider Trading, Rule 105 of Regulation M, Investment Banking

(i.e. underwriting allocations, chronologies, special monitoring), NYSE

Rule 97, Rule 92, Derivatives, Short-selling, trading "Bluesheets", Firm

Research etc.

. Duties entailed networking firm-wide resources (i.e. traders, operations,

software) in order to analyze and provide data in consideration of

industry rules and regulations.

. Responded to real-time inquiries from NASDAQ, Arca and CBOE concerning

trade validations and possible erroneous filings.

DEUTSCHE BANK SECURITIES INC., New York, N.Y.

7/2000 - 3/2006

Compliance Officer - Regulatory Investigations and Affairs

. Member of a two-person group responsible for replying to regulatory

inquiries received from the SEC, NASDR, CBOE, NYSE, AMEX, ISE, PCX etc.

. Coverage matters included Insider Trading reviews, Rule 105 of Regulation

M, Investment Banking (i.e. underwriting allocations, chronologies,

special monitoring), NYSE Rule 97, Rule 92, Derivatives, Short-selling,

trading "Bluesheets", Firm Research etc.

. Duties entailed networking firm-wide resources (i.e. traders, operations,

software) in order to analyze and provide data in consideration of

industry rules and regulations.

. During the first month of employment, designed and implemented a database

utilized to replace existing software which was created to record the

status and track the progress of all regulatory inquiries and

examinations.

. Analyzed and provided data necessary to respond to regulatory

examinations and class action notifications.

. Gathered and formatted data necessary to file the firm's 351D reporting

requirement: Customer Complaint Quarterly filing.

. Examined trends in statistics concerning receipts of Firm's regulatory

inquiries/examinations and reported data at status meetings with the

Director of Compliance.

Lotteann Gonzalez

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SALOMON SMITH BARNEY, New York, N.Y.

11/1999 - 7/2000

Control Room Analyst - Chinese Wall / Trade Surveillance

. Monitored compliance with the firm's Watch and Restricted listings by

analyzing daily surveillance reports in consideration of issuer

transactions.

. Ensured compliance with Chinese Wall ("Information Barrier")

procedures.

. Reconciled trade violations where appropriate, provided clearance for

personal employee business and assisted all branch offices with trading

inquiries in consideration of possible trading restrictions.

SCHRODER & CO., New York, N.Y.

1/1997 - 11/1999

Office of the Director of Compliance: Compliance Analyst

. Replied to the regulatory inquiries received from the NASDR, CBOE,

NYSE, AMEX, PCX, SEC, IRS (i.e. tax levies) etc. as well as subpoenas

and requests received from law firms and private entities.

. Supervised two law school interns.

. Provided investment advisory coverage for part-time co-worker.

. Maintained and organized the tracking database and physical files

corresponding to all regulatory inquiries and examinations.

Office of the Director of Compliance: Executive Assistant

. Responsibilities entailed assisting the Director of Compliance and in-

house counsel with production of reports and correspondence as well as

reconciling the requirements of approximately eight Compliance Staff

members.

. Recorded and maintained the firm's Restricted and Watch listings and

disseminated information as appropriate.

Professional Licensing

NASD Series 7 and Series 63

Education

JOHN JAY COLLEGE OF CRIMINAL JUSTICE, New York, N.Y.

Bachelor of Science Degree in Criminal Justice

Part-time Staff Tutor / Minor declaration in English Studies

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