Service Management

Kevin J. Lockhart

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

Stony Brook, NY 11790

631-***-**** ****@*********.***

PROFILE

Possess strong research, analytical, and interpersonal skills. Detail oriented and capable of working effectively in a

fast-paced environment. Hold high personal standards and consistently assist team in achieving departmental

objectives.

PROFESSIONAL EXPERIENCE

BNY Mellon/ MBSC Securities Corporation, Uniondale, NY 8/08 – Present

Assistant Vice President

Private Securities Compliance/Operations

• Conduct principal review and approval of private fund, separate account and general asset management

marketing materials to ensure compliance with FINRA and corporate standards.

• Assist with the due diligence review of new private funds that are offered through the broker dealer.

• Conduct background investigations of private fund prospects to ensure compliance with SEC Regulation D.

• Assist in developing and implementing supervisory control procedures in accordance with Rule 3012.

• Conduct suitability review and Anti Money Laundering screening of prospective clients.

• Conduct email surveillance to ensure private fund marketing materials are distributed in accordance with

FINRA and corporate standards.

• Assist in creating and compiling data for the broker/dealer board meetings.

• Assist in creating, developing, and implementing policies and procedures.

J. & W. Seligman & Company, Incorporated, New York, NY 3/07 – 8/08

Assistant Vice President

Compliance Administration Analyst

• Supported Fund Chief Compliance Officer/Investment Risk Manager with oversight and development of the

Firm’s compliance function and administration.

• Participated in due diligence visits and meetings of service providers and prepared documentation.

• Performed soft dollar and brokerage analytics.

• Drafted meeting minutes for Due Diligence, Credit Committee, Compliance Oversight Committee, and

Brokerage Oversight Committee meetings.

• Completed ad hoc projects and assignments.

• Conducted e-mail surveillance.

Mellon Financial Corporation/Dreyfus Service Corporation, Uniondale, NY 10/00

– 3/07

Senior Operations Specialist (2002 – 2007)

Supervisor - Financial Processing

• Supervised the financial processing unit to ensure standards of control, accuracy, timeliness, and customer

service were met.

• Performed surveillance functions to monitor risk, minimize exposure to fraud, and detect suspicious

transactions and escalate issues as they surfaced.

• Conducted quality review of check deposits/disbursements, federal wires, account transfers, and journals to

ensure the transaction(s) adhered to client instructions and Anti-Money Laundering policies and procedures.

• Performed suitability review on accounts to determine if investments were consistent with client goals and

objectives.

Supervisor - Exceptions

• Reviewed and signed off as principal new account applications.

• Evaluated credit reports to determine account eligibility, fraud risk, and to determine if the client was eligible

to establish a margin account.

• Conducted quality review of the tasks that were performed by Operations Specialists.

• Reviewed and responded to client inquiries and complaints.

• Assisted with establishing and implementing policies and procedures.

Operations Specialist (2000-2002)

• Controlled the work flow of confidential investment related material.

• Supervised and participated in numerous projects assigned by management.

• Resolved investor problems, complaints, and inquiries.

• Ensured corporate and regulatory policies and procedures were adhered to.

EDUCATION

Drexel University • Master of Business Administration, Concentration in Financial Management

Long Island University, C.W. Post Campus • B.S., Business Management Minor: Psychology

SECURITIES LICENSES and CERTIFICATION

Series 24 Series 7 Series 66

Awarded Claritas® Investment Certificate

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