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Manager Management

Location:
New York, New York, 10025, United States
Posted:
May 24, 2010

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******* ****

*** **** ***** ******

New York, NY 10025

(H) 212-***-****; (C) 347-***-****

E-mail: ********@***.***; ***********@*****.***

Securities industry/Financial services securities compliance professional;

Passed New York State Bar Exam; Certified for admission to First

Department, New York Bar (April 2010); Submitting Admission Application

(April 2010); Substantive, functional experience at global broker-dealers,

alternative investments, investment banks, foreign banks and asset

management firms. Working knowledge of US and cross-border securities

laws, rules and regulations; Application of SEC Rule 206 (4 - 7 re

compliance monitoring of investment advisers customer account activity);

Exceptional writing, researching and presentation skills; Ability to

influence all levels of the organization and drive to consensus.

Pershing LLC Oct 2009 - Present

Senior Compliance Consultant, Alternative Investments/Hedge Funds

Primary duties include daily review of alternative investment

vehicles, investment advisers and hedge funds (US-based and cross

border) to determine compliance with SEC applicable statutory

guidelines under the Investment Advisors Act of 1940

. Evaluation of hedge funds and alternative investment funds to

determine suitability and specificity of purpose marketed to

appropriate investment audience (institutional and accredited

investors)

. Responsible for daily review of federal regulatory documents (Form

ADV, Form D) for over 3500+ alternative investment entities to

determine transparency and full disclosure

. Daily review of domestic and offshore private placement,

subscription and offering disclosure documents for material

disclosures to third-party institutional investors

. Analyzed, monitored, recommended to executive management and

developed informational guidelines for bank compliance

transactional issues

. Developed written policy, process and procedural framework related

to regulatory and banking compliance industry standards

. Surveillance and monitoring of investment advisers interaction with

client accounts as per SEC Rule 206 subsections 4 through 7 and

written, detailed assessment in the event of material, fiduciary

breach by IAs

. Daily research of '40 Act issues that arise in review of hedge

funds and alternative investments materials, namely offering

memoranda, private placement memoranda, subscription agreements,

among other relevant client disclosure documents

. Daily written reports delivered to key management on material

issues that breach or infringe upon federal and/or Pershing

internal guidelines governing alternative investments and hedge

funds

Oversea-Chinese Banking Corporation (OCBC) May 2008 - Apr 2009

Assistant Vice President, Compliance Manager, North America

Primary duties included managing daily AML/KYC activity for NY and LAs

BUs, Monitored of daily transactions, Prepared and conducted AML, KYC,

OFAC testing, Reported directly to General Manager

. Provided daily compliance analysis, surveillance and guidance on

all cross-border and US banking transactions processed through

NY/LA Business Units

. Developed written policy, process and procedural framework related

to regulatory and banking compliance industry standards

. Analyzed, recommended to executive management (domestic and

Singapore) and developed informational guidelines for bank

compliance transactional issues

. Interfaced with state and federal regulators on internal and

external audit reviews, regulatory issues and industry best

practice guidelines for both New York and Los Angeles offices

. Analyzed and provided Singapore Head Office with various compliance

reports due on a monthly, quarterly, semi-annual and year-end basis

. Created comprehensive compliance training tests for NY/LA

Operations staff to keep all abreast of current trends and updates

of compliance issues relevant to the Bank's business and customer

activities

. Researched all US-specific regulatory and compliance issues and

draft issue memoranda for delivery to Singapore Head Office

Group/Legal BU

ABN AMRO Bank Jan 2006 - May 2008

Assistant Vice President, Regional Due Diligence Management

Primary duties included providing review, analysis and compliance

support for institutional clients, PEP Analysis and Due Diligence

Analysis

. Provided analysis and recommendations to Senior and Junior

Relationship Bankers on Client Risk Rating and the applicable

Global and Regional Compliance Requirements controlling the product

transaction

. Responsible for daily review of federal regulatory documents (Form

ADV, Form D) for public, private and alternative investment

entities to determine transparency and full disclosure

. Developed written policy, process and procedural framework related

to regulatory and banking compliance industry standards;

. Analyzed, monitored, recommended to executive management and

developed informational guidelines for bank compliance

transactional issues;

. Comprehensive analysis and application of FSA and global (local

requirements) compliance rules, guidelines and regulations for

securities products and hedge fund transactions

. Facilitated the requesting, collecting and organizing of client

documentation by providing comprehensive guidelines to Relationship

Bankers and Case Operations Analysts

. Interfaced directly with Senior, Global and Regional Bankers on

product-transactional compliance rules and regulations

. Direct interaction with Global and Regional (North America)

managing directors, directors and compliance managers on partnering

and implementing internal and FiNRA KYC and USA Patriot Act (Anti-

money Laundering) Initiatives

Merrill Lynch Oct 2003 - Jan 2006

Senior Legal/Compliance Specialist, Global Client Due Diligence

Provided legal and compliance support for institutional and domestic

equity, fixed-income trading and brokerage businesses including

drafting compliance and regulatory procedures

. Primary point person for AML - USPA and FSA Risk Category client

transaction documentation and OFAC Hits and Sanction Checks

. Responsible for daily review of federal regulatory documents (Form

ADV, Form D) for public, private and alternative investment

entities to determine transparency and full disclosure

. Developed written policy and procedural guidelines, in

collaboration with global compliance control owners, pertaining to

US-based and cross-border transactional compliance issues

. Scrutinized sales materials for full, material disclosure including

annual and quarterly reports, offering memoranda, marketing and

advertising information, shareholders' correspondence including

proxy statements accompanying supplements and questionnaires

. Updated and informed Institutional Advisory Division, brokerage and

trading units on recent developments, trends and Final Rule

announcements from the FiNRA and SEC

. Proofread sales brochures and materials for registered rep business

unit

Baruch College, City University of New York Sep

2002 - Sep 2003

(Consultant) Instructor, Department of Continuing and Professional

Studies

Instructed students in basic legal theories and doctrines

SalomonSmithBarney Dec 2000 -

Sept 2001

Consultant, Mutual Funds Group

Analyzed fund prospectuses and statements of additional information

via '40 Act regulations; Evaluated and resolved investor complaints

with Customer Complaint Group's compliance officers

Lazard Freres July 2000 - Dec

2000

Consultant, Lazard Asset Management

Analyzed domestic and global equity sub-advisory funds based on rules

outlined in the Investment Company Act of 1940 to ensure customer

suitability and compliance with advised and sub-advised funds;

Compliance monitoring of investment advisers client account activity

as outlined in SEC Rule 206 (4 - 7); Assisted in drafting LAM Funds'

compliance policies and procedures

CIBC World Markets June 1998 -

June 2000

Senior Surveillance Analyst, Legal/Compliance Group

Monitored daily equity trading activity of 150-plus registered

representatives in four high-end revenue generating branch offices.

. Daily analyses of customer equity and fixed-income sales activity

for retail accounts to identify potential conflicts-of-interest;

review daily reports to identify front-running by registered

representatives; Monitor transactions applying FiNRA - KYC Rules

. Daily analysis of customer suitability for options/margin trading

Lehman Brothers Inc. July 1997 - June

1998

Consultant, Transactional Management Group

Monitored institutional client trading for suspicious activity.

Citicorp Securities, Inc. Jan 1997 -

July 1997

Consultant, Investment Banking - Emerging Markets

Reviewed foreign issuer transactions floated in U.S. market

PARALEGAL EXPERIENCE: General Corporate Housekeeping

McCarter & English, 1988-1991; Winthrop Stimson et al., Paralegal,

1985-1987;

Salomon Brothers Inc, Mergers &Acquisitions, Proofreader, 1984 - 1985

EDUCATION

Rutgers Law School, J.D., Financial Institutions, Securities and

Corporate Law

Rutgers College, B.A., English

New York State Bar Exam: Passed July 2009; In Process of Admission

References furnished upon request.



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