Management Vice President

Gail Robyn Hodes

**** ********* ***. **. ** ~ New York, NY 10027 ~ 203-***-**** ~

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

Experience

COMPLIANCE CONSULTING, New York, NY 10/2008 - Present

Self Employed Consultant

. Advise and provide recommendations to financial services clients

including: Broker Dealers, Banks, Hedge Funds, RIA, Investment

Advisors and Investment Management Companies. Including: Barclays,

Brookfield, CRS, BullPath Capital, McCrary Capital, Wolters Kluwers,

Compliance Search Group.

. Projects include:Anti Money Laundering reviews, updating Policies,

Procedures and Compliance Manuals, Code of Ethics and Conduct Reviews,

Continuing Education Planning, Testing of Policies & Procedures.

. Continuous monitoring of proposed and changes in security laws and

determining their impact on client base.

. Provide employment solutions to banks, hedge funds, mutual funds and

management consulting firms.

PALOMA SECURITIES L.L.C., Greenwich, CT 1/2007 - 9/2008

Vice President, Compliance (orig. JWI Engagement)

. Responsible for preparing and filing all regulatory reporting

requirements for $150M broker-dealer.

Including: Monthly Net Capital Calculation, per rule (15c3-l)

and FINRA FOCUS filing, (form X-17A-5);

and all registration and CRD issues for 20+ registered

representatives and 3 branch offices.

. Performed OSJ branch examinations.

. Conducted internal audits for documentation included in preparation of

Annual CCO Certification per Rule 3130.

. Reviewed and coordinated all requested materials during FINRA

examination. Liaison with exam team.

. Wrote new policies and procedures; tested adherence to all manuals and

policies.

Including: Written Supervisory Procedures, Compliance Manual and

AML Manual.

. Confirmed monthly positions of stock borrows and loans, repo and

reverse-repurchase agreements.

. Originated Continuing Education Plan and determined Annual Firm

Element needs for staff of 100.

JEFFERSON WELLS INTERNATIONAL, New York, NY 10/2005 - 6/2007

Compliance Management Consultant

Client engagements: Paloma Securities, JP Morgan Hedge Fund Services,

Bear Stearns, Pirate Capital, Barclays, KBW, Bank of America, Guardian

Investor Services, and NY Community Bank.

. Created materials for new consultancy practice. Moderated seminars on

relevant topics including Valuation and SEC Hot Issues.

. Developed assessment materials for evaluating Compliance Programs for

hedge funds, fund of funds, and registered investment advisors.

. Resolved SEC and Blue Sky registration issues for new fund of hedge

fund client.

. Conducted independent audits on various issues including Code of

Ethics, Gift and Entertainment policy, Custodial and WRAP Fee

accounts.

. Performed Sarbanes Oxley testing on various banking entities (thrift,

commercial, S&L, private and investment) on topics including credit

derivatives, pay roll administration, investments and borrowings.

DKR CAPITAL INC., Stamford, CT 5/2004 - 9/2005

Compliance Associate

. Managed registration issues for NASD, NFA and FSA registered personnel

and SEC and FSA registered entities.

. Provided applicable compliance support for offshore and master-feeder

hedge funds.

. Created and rolled out company's original Compliance Manual.

Developed, tested and maintained policies and procedures to regulatory

and compliance requirements.

. Ensured adequate disclosures in Form ADV and compliance with delivery

requirements for multiple Investment Advisory firms and a Limited

Broker Dealer. Prepared annual and as needed updates to Forms ADV

Parts I & II.

. Determined country specific holding limitations and filing

requirements; reduced delays between trigger and filing.

. Evaluated potential investors' questionnaires for suitability and AML

review.

. Surveyed investor base for Blue Sky and Form D issues and coordinated

documentation with outside counsel.

DEUTSCHE BANK PRIVATE WEALTH MANAGEMENT, New York, NY 1/2003 - 1/2004

Assistant Vice President

. Provided diligent and expedient review of marketing materials.

. Coordinated all aspects of confidential, attorney client privilege

survey on market timing of mutual funds.

. Updated privacy notices, printed in 4 languages and delivered as set

schedule mandated.

. Monitored bond holdings with ratings below acceptable bank policy for

appropriateness.

. Revamped quarterly account reviews and performance variance reports

for Trust and IA portfolios.

GE ASSET MANAGEMENT, Stamford, CT 11/1995 - 9/2001

Equity Compliance Specialist

. Proactively monitored equity accounts for compliance with investment

management agreements and the '40 Act.

. Resolved potential issues with traders, portfolio managers, data

integrity and legal prior to trade execution.

. Analyzed investment agreements and established trading system

restrictions for new accounts.

. Identified and prepared quarterly external audit materials and

followed up on audit issues to resolution.

. Directed and evaluated project work for summer interns.

Reporting Analyst - Operational Risk & Compliance

. Received award for creating process for monitoring derivatives in all

funds (pension, client & mutual funds) and asset classes (equities,

fixed income & alternative investments) that provided the ability to

limit exposure.

. Wrote policy and system requirements for new Hi Close policy resulting

in ability to proactively meet needs of Canadian clients, consultants

and sales force.

. Developed mutual fund style purity tests which verified conformity of

funds to prospectus.

. As a member of the quality team, performed process mapping and wrote

requirements for the opening and closing account process that

significantly decreased the time to assess post-close fund

performance.

. Digitized company-wide policies and procedures providing instant,

organized access and space savings.

. Prepared for SEC audit; plus various monthly, quarterly and annual

filings (ADV, CM/S, BE-82, 13D/G/F).

. Analyzed data from Bloomberg, Reuters, and MSCI; assessed appropriate

country of risk in collaboration with trade support personnel,

portfolio managers and legal.

. Implemented country of risk project by tracking communication to and

from clients for re-classification of securities. Enabled strategic

investment decisions without violating contracts, reduced risk, and re-

work.

Portfolio Assistant

. Researched current and potential holdings for an $8 billion Large Cap

Value equity portfolio.

. Performed stock screening using analytical tools.

. Prepared industry overviews and quarterly performance reports for

Board of Directors.

Education

MBA, University of Bridgeport, Bridgeport, CT 1999

Major in Finance: concentration in International Management.

BS, Business Administration, University of Connecticut, Storrs, CT

1990

Major in Marketing: concentrations in International Business and

French. Dean's List.

Universit de Grenoble, France Intensive international business

program at cole Sup rieure des Affaires.

Certifications/Affiliations/Skills

NASD Series 7 & 24 Licenses, Notary, Basic Tax Preparation.

Proficient using Word, Excel & PowerPoint.

Conversant in French.

Personal

Extensive travel through Europe, Africa and the Middle East.

Avid Tennis player and Olympic distance Triathlete

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