Manager Vice President
Resume:
Tammy Eisenberg, Esq.
Locust Valley, New York 11560
E-mail: ablssj@r.postjobfree.com
Admitted to Practice - New York
Work Experience Edit
Chief Compliance Officer/General Counsel
DIAM U.S.A., Inc./Mizuho Financial Group
New York/NY
Responsible for providing legal advice and developing and administering
compliance program consistent with Rule 206(4)-7 the Investment Advisers
Act of 1940 and other applicable laws for this SEC-registered investment
adviser (a global joint venture between Dai-Ichi Mutual Life and Mizuho
Corporate Bank). Compliance program encompasses policies and procedures
relating to quantitative and fundamental equity and fixed income portfolios
and limited use of futures products. Responsibilities include: drafting of
advisory/sub-advisory agreements, preparation of board materials, review of
advertising/marketing materials (including GIPS compliance), advising on
ERISA matters, providing compliance training and liaising with global DIAM
and Mizuho compliance staff. Accomplishments include: creating and
implementing compliance manual, code of ethics, futures compliance manual,
anti-money laundering/OFAC policies and procedures and compliance programs
to implement these policies. Successfully completed an SEC examination in
2006.
Mizuho Alternative Investments, LLC - Provide compliance and legal support
to the SEC and CFTC/NFA registered alternative investment hedge fund
manager subsidiary of parent company Mizuho Corporate Bank. Hedge fund
products include, but are not limited to: CDOs, CLOs, credit strategies,
managed futures funds and a recovery fund.
6/2004 - 8/2005
North American Head of Securities Compliance
Cargill Investor Services/Cargill, Inc.
New York/NY
Created and oversaw compliance programs for broker-dealer, investment
adviser (Chief Compliance Officer) and hedge funds. Compliance program
encompassed equity and fixed income trading, global research rules,
information barriers, anti-money laundering/OFAC, codes of ethics,
developing written supervisory and compliance procedures and surveillance
programs. Position required knowledge of the Securities Act of 1933,
Securities Exchange Act of 1934, Investment Advisers Act of 1940,
Investment Company Act of 1940, CFTC/NFA regulations, NASD rules and
general industry best practices.
7/2002 - 2/2004
Vice President - Senior Compliance Officer
ABN AMRO Incorporated
New York/NY
Control Room Manager. Supervised Control Room staff; created and
implemented information barrier policies and procedures for research,
investment banking, relationship banking personnel and capital markets;
credit markets activities; created global policies and procedures;
conducted annual and other compliance training; created and enforced
Employee Trading Policy; and, researching applicable rule changes.
8/2001 - 7/2002
Vice President - Control Unit Manager
Prudential Securities
New York/NY
Supervised Control Room staff; created and implemented Chinese Wall and
research compliance procedures; maintained and enforced Watch and
Restricted Lists.
5/2000 - 8/2001
Vice President
U.S. Trust Company
Jersey City/NJ
Chief Compliance Officer - UST Securities
Vice President, Corporate Compliance - U.S. Trust. Created and implemented
compliance manual; best execution surveillance procedures; Regulation S-P
(Privacy) policies; and procedures for compliance with Gramm-Leach-Bliley.
Projects for Corporate Compliance included creating Chinese Wall policy and
procedures for U.S. Trust research; conducting compliance analysis of all
bank securities functions, including Private Equity, Strategic Trading
Division, Mutual Fund Administration and Mutual Fund Sales, with compliance
responsibility for these divisions while coordinating with Charles Schwab
Compliance on cross-organizational matters.
11/1997 - 5/2000
Vice President - Legal & Compliance Dept
SG Cowen Securities Corporation
New York/NY
Supervised Control Room staff; created and enforced global Chinese Wall
procedures; enforced Section 20 and Regulation Y compliance, maintained and
enforced Watch and Restricted Lists through trade surveillance, domestic
and global research reports review; and created and enforced Employee
Investment Policy and conflicts of interest policy.
5/1997 - 11/1997
Staff Examiner - Special Investigations Unit
NASD Regulation, Inc.
New York/NY
Conducted investigations of terminations for cause and customer complaints.
Investigations covered potential violations of NASD rules, such as:
misrepresentation, fraud, suitability, unauthorized transactions, churning,
market manipulation, operational issues, guarantees against loss, insider
trading, cold calling, outside business activities and other issues.
12/1995 - 12/1996
Associate
Lehman & Eilen
Uniondale/NY
Duties included preparing SEC, NASD and NYSE registration materials for
broker-dealers and investment advisors; handling all phases of broker-
dealer and investment adviser state registration; researching 1933 Act,
1934 Act and 1940 Act issues; drafting supervisory and compliance
procedures, including Chinese Wall procedures, market surveillance, OFAC
and advertising and correspondence procedures; working with Rule 144 and
Rule 144A issues; assisting clients with MSRB Rule G-37 and Rule G-38
issues; and, developing familiarity with the National Securities Market
Improvement Act of 1996.
EDUCATION
Widener University School of Law, Harrisburg, PA - Juris Doctor (May 1995)
Brooklyn College, Brooklyn NY - BA, cum laude (February 1991)
SPEAKING ENGAGEMENTS
. IA Watch Compliance Summit 2010 - Innovative Techniques to Spruce Up
Your Compliance Training, March 26, 2010
. IA Watch Webinar - Best Practices to Combat Insider Trading, December
15, 2009
ARTICLES PUBLISHED
. Journal of Securities Law, Regulation and Compliance - July 2010,
Developing Effective Compliance Training for Investment Advisers.
Contact this candidate