Edward G. Spiegel

401-***-**** ad3ru1@r.postjobfree.com

SUMMARY

Compliance professional with project & product management experience as well as extensive experience in managing complex, long-term multi- faceted projects to support key business initiatives, regulatory implementation projects, compliance and risk management, operational process improvements, business reporting metrics and financial sales & service initiatives. EXPERIENCE:

Wedbush Securities Jersey City NJ

VP Regulatory Operations Reporting Oct 2023 – present Overview: Leading team of operations analysts to overhaul and enhance existing regulatory operations reporting processes and procedures. .

• Modernize existing processes to develop better oversight, reporting and issue resolution for the following reports: Bluesheets, Short Interest Reporting, LTID, CAT/CAIS, LOPR, TRACE

• Update existing WSPs, desktop procedures, record keeping for all of our reporting processes.

• Develop dashboards for all the reporting my team supports. Projects:

• Deloitte engagement for CAT/CAIS

• Bluesheet processs overhaul

• LTID report validation and enhancements.

Hold Brothers Capital New York, NY

Co – Chief Compliance Officer August 2022 – June 2023 Overview: Provide compliance expertise to improve the existing compliance program, specifically around trade reviews. Work with a team of up to four compliance professionals to address the day-to-day oversight of the broker – dealer.

• Review and implement changes to the existing compliance program, with focus on trade reviews and manipulative trading alerts.

• Oversee core compliance functions, such as communication and content reviews, complaints, U-4 / U-5 updates, employee oversight, regulatory exams & inquiries.

• Update written supervisory procedures, ‘WSPs’, desk procedures, develop best ex policies and procedures. Projects:

• Update trader narrative process for home office traders.

• Design and develop enhancements to existing trade and employee monitoring programs.

• Review CAT reporting – led to modernization of internal processes and hardware for CAT reporting obligations.

• Review and update books and records compliance.

Morgan Stanley / E*TRADE New York, NY & Jersey City NJ Various Roles April 2008 – June 2022

Director, Risk June 2022 – August 2022

Overview: Support customer facing business teams by addressing specific risk functions, such as low-priced security transfer approvals

• Responsible for AML / Risk reviews and approvals for low priced security transfer exceptions

• Review escalated e-communication items to determine resolution vs. matters requiring further action.

• Harmonize legacy E*TRADE risk policies with Morgan Stanley risk policies. Director, Compliance March 2013 – June 2022

Overview: Managed various central compliance teams (Electronic communications monitoring, ‘ECOM’, Complaints, Trade Surveillance) for the firm.

• Responsible for the development and implementation of creating centralized ECOM review policies, procedures, team and tools.

• Responsible for implementation of various compliance software tools and platforms to be leveraged across compliance, i.e., registrations, complaints, ad review, RIA, bank and regulatory affairs.

• Led efforts to mitigate issues that were uncovered during internal audits and regulatory exams, such as compliance data validation processes and procedures.

• Overhauled existing records management program.

• Managed up to 10 associates across teams under my purview. Projects:

• Design and develop the processes and team to align with updates to the employee supervision rule – i.e., ECOM reviews of internal as well as external correspondence and enhanced employee background checks.

• Implementation of third-party compliance tools such as Bloomberg Vault, Global Relay, RegEd to support bank and brokerage compliance teams.

• Updated existing records management program for enhanced tracking and risk mitigation. Product Management Jan 2011 – Feb 2013

Overview: Primarily focused on the implementation of new reporting regulation for cost basis & tax reporting

• Oversaw the development of requirements for multiple product managers for Cost Basis regulatory reporting. Responsible for the tracking and resolution of defects and issues that surfaced throughout the project.

• Received Product Management Achievement award in December 2012. Projects:

• Cost basis implementation and customer reporting Project Management April 2008 – Dec 2010

Overview: Responsible for the end-to-end management of business projects and initiatives to support call centers, high value customer teams (HVC) business and sales.

• Reporting key metrics reporting for senior management regarding weekly, monthly, quarterly and year-over-year comparisons and statistics.

• Worked with team to re-engineer asset and household calculations. Projects:

• Update HVC calculations and householding parameters

• Sales support tools for HVC facing sales teams.

Banc of America / Quick and Reilly New York, NY & Lincoln, RI Various Roles: VP/Change Manager, Facilitation Manager, Corporate Facilitator Jan 2000 – March 2008

• Recognized as a key contributor with strengths in managing projects for new organizational units improving and standardizing internal process and procedures.

• Consistently selected to manage complex projects to define scope and resource requirements.

• Established internal E*Learning project development metrics- timelines and responsible business partners.

• Managed staff of 4 virtual facilitators.

Morgan Stanley / Dean Witter Jersey City, NJ

Various Roles: Customer Service Associate, Facilitator, Team Manager, Quality Assurance Oct 1997 – Dec 1999

• Promoted from call center associate to facilitator for the call center within one year.

• Develop updated learning curriculum for both new and existing call center employees.

• Managed team of 5 associates that supported the Dean Witter brokers selling the Dean Witter family of mutual funds.

• Worked with team to develop modern electronic workflows and initial introduction of customer management relationship software (CRM). SYSTEMS:

• MS Office Suite, Bloomberg Vault, HP IAP, Global Relay, RegEd product suite, Actimize, Trillium Licenses:

• Series 7, 24, 63 & 65

Experience with the following rules and areas:

• Security Acts of 1933, 1934, 1940 FINRA Employee Supervision, Trade Surveillance, Customer Complaints, Communication Surveillance

• SAR filings, AML & Financial Crimes

• Complaints, Process Mapping and Improvement, Gap Analysis, Remediation plans & projects EDUCATION:

SUNY Oneonta Oneonta, NY

• Graduated June 1994

• Bachelor of Science: Secondary Education & Economics

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