Service Microsoft Office

Francesca D. Bradley

** ******** ******, ****** *** Jersey, 08817

Cell 914-***-****

Email: *********.*.*******@*****.***

Objective

Experienced operations and client service professional, who has recently transitioned to a career in compliance. Looking for a position where I can apply my knowledge of the financial industry and compliance to make a positive contribution within a regulatory environment. Professional Experience

Nuverse Advisors, LLC New York, New York - September 2014 - Present Nuverse Trust Company (BVI) Limited

S3 Global Multi-Strategy Funds

Associate, Compliance Department

• Researched extensively compliance issues related to AML, SEC, FINRA and NFA.

• Responsible for AML KYC due diligence on new customers. Utilized PACER, OFAC and other data bases to complete due diligence reports for presentation to senior managers. Performed KYC and AML due diligence on potential clients by researching the OFAC’s SDN list, PACER, and other databases. Identified significant KYC issues which protected the firm from unsuitable investors.

• Assisted with the firmwide global set-up for meeting the U.S., U.K. and B.V.I. FATCA requirements and preparation of the firm’s FATCA procedure manual.

• Participated with the firm’s Chief Compliance Officer with a comprehensive SEC audit of the firm and its funds and assessed firm’s compliance to see that the SEC’s concerns and recommendations were being addressed in the firm’s compliance manual, code of conduct and procedures and updated the manual to address current issues.

• Analyzed the firm’s and its fund’s income statement and balance sheet in order to prepare the firm’s annual filings with the SEC (Form ADV, etc.). Prepared the firm’s annual SEC filing by compiling income statements and balances sheets.

• Represented actively the Compliance Department in the monthly performance meetings with the firm’s high net worth clients, the offshore funds board meetings and the external auditor’s annual audit engagement meeting.

• Assisted in the compliance review and prepared costing analysis for a potential new external accounting administrator.

• Prepared reports and presentation for the managing partners and attended meetings to explain point of views and options available.

• Provided assistance to the firm’s operations team to assure compliance with policies and procedures as needed (eg., IPO, large transactions report rule 13H, etc.).

Bank of New York Mellon Corporation New York, New York - September 1993 - May 2014 Vice President / Client Service Officer III, Alternative Investment Services (AIS) June 2003 - May 2014 Assistant Treasurer, Mutual Fund Accounting Services February 1997 - June 2003 Reconciliation Clerk, Retail Banking Division September 1993 - February 1997

• Responsible for maintaining BNY Mellon AIS client service standards for the largest and most complex clients.

• Managed a staff comprised of Account Managers and Fund Accountants whose responsibilities included providing premier client service and contributed to the production of client portfolio valuations, investor statements and Net Asset Value (NAV) calculations.

• Liaised with the service delivery teams to resolve daily service delivery issues for assigned clients across all functions.

• Ensured compliance with internal policies, external control and client service standard requirements.

• Provided ad hoc reporting, coordinated monthly client service calls, and assisted with the year-end audit process including the preparation of year end audited financial statements and investor K-1’s.

• Recognized as a subject matter expert on alternative investment client services including: portfolio accounting, investor accounting, custody, and transfer agency. Understanding of the ancillary products and services provided to the AIS client base, including: pricing, corporate actions and cash management.

Education

Iona College New Rochelle, New York

Bachelor of Business Administration, Major in Accounting Skills

SunGard Invest One, Bloomberg, Reuters, Apollo, Municipal Market Data, Microsoft Office including excel macros, pivot tables, Total Return, Praeeo, Quick Books, Interactive Brokers, Advent, Share Point

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