Maurizio Pane

**** ******* *******. ******* ** **013. Cell: 201-***-**** - adbo63@r.postjobfree.com

Areas of Expertise

Trading (stocks, fix income, mutual funds, options)

AML & Fraud

Compliance Trade Surveillance / Supervision

Risk Management

Career Focus

I bring twenty years of experience in the securities financial industry, concentrating in Compliance, Risk Management, Surveillance and Fraud/AML. Driven by a dedication to quality and enforcing firm rules and industry regulations.

Accomplishments

Series: 7, 63, 66, 4, 9, 10, & 24

Professional Experience

SNOWDEN LANE Partners – Compliance – Sr. Compliance & Supervision Officer

March 2016 - Present

•Covered most aspects of a Compliance Dept. Responsible for Trade Surveillance, AML, and Employee Compliance. Scope included 9K accounts and over 75 FAs. Some specifics follow.

•Review all Enhance Due Diligence (EDD) documents for clients and support onboarding procedures. Includes client screenings, client risk rating, and periodic reviews.

•Review and document all issues dealing with OFAC, FINCE, Lexus Nexus, Equifax and Compliance Data Center LLC (CDC) reports/notification.

•Work closely with Pershing back office (New Accounts, IRA, Trading Desk, Margin, AML and P&S department) to resolve trade and non-trade related issues.

•Review of Use of Actimize and Pershing reports to monitor money movement and trading activity for all Snowden Lane Branches.

•Document any suspicious activity and file required Suspicious Activity Reports.

•Ensure that employees of Sowden Lane follow firm policy as well as regulatory requirements for gifts, events, presentation, entertainment and correspondence.

•Manage/Monitor licensing, continuing education, employees’ annual certifications, U4, U5, questionnaires and registration for all Snowden Lane Partners registered/non-registered employees.

•Main interface for all audit and regulatory reviews and questions.

Morgan Stanley - Wealth Management Risk - Central Review Unit Trade Analyst / Trade Surveillance

August 2014 to December 2015

•Review of trade blotter and supervise daily trades for largest retail branch offices.

•Review of KYC information to ensure accounts are compliant with firm and industry rules and regulation.

•Work closely retail branch risk officers and Compliance investigations officers in performing proper due diligence on account reviews for trading related issues for both employee and non-employee accounts maintained by the firm.

•Review multiple trading filters (i.e. Front Running, Market on Close, etc.) to ensure that accounts are following regulations.

•Review recommendation and submitted appropriate evidence for trading in Senior and Custodial account.

•Escalate items via Case Management System (i.e. Actimize) that demonstrate deficiencies and/or not adhering to the rules and regulations.

•Participate in monthly strategy meeting with management team to review new and update existing firm polices for trading as well as requirements for opening/maintain client accounts.

•Take part in monthly meeting with retail branch office to identify key issues and to assess, monitor, communicate and report on the product risk profile to enhance business relations and look for ways to make process more effective.

•Review reports of client and firm employee activity via Case Management System and documenting results. Includes communicating findings to head of department as well as the branch risk officers and Compliance investigators.

Morgan Stanley - Wealth Management Risk – Assistant VP / Senior Registered Options Principal

January 2010 to December 2015

•Work closely with Compliance, Legal, Portfolio Management and New Accounts on updating and enforcing firms

trading policy regarding discretionary and non-discretionary option trading.

•Review and assisted all Morgan Stanley Branches in the discretionary option approval process.

•Keep detail records for metrics purpose of what was approved, rejected and trends.

•Meet with Managing Director for Risk monthly to talk about trends and discuss process improvements for discretionary option trading.

•Participate in bi-weekly meetings with various departments to identify key risks and control weaknesses that require remediation for option trading. Look for ways to make processes more effective.

•Worked closely with all retail branch offices to provide guidance and feedback on requirements for option trading.

•On average would review and approve approximately 300 option agreements a week for ~6000 FA's/ FA teams that were granted discretionary trading authorization.

•Escalated and resolved issues dealing with discretion option trading for both employee and non-employee accounts to complex risk officers for follow up.

•Appropriately documented, reviewed and archived all findings from formal reviews.

•Assisted with the review and approval of Tri Party Pledged Accounts, Plan Solicitation Accounts, Email Review, and all types of option trading.

TD Ameritrade - Compliance - Fraud and Surveillance Analyst

December 2005 to December 2010

•Worked directly with management to assess and respond to the risk posed by identity theft, account take over and fraud.

•Independently complete time sensitive fraud investigation cases opened by the call center and branch retail offices.

•Work closely with clients and multiple departments (Call Center, Middle and Back Office, Margin & ACTS) to document case findings and quickly help resolve client fraud issues.

•Utilized strong listening and analytical skills to resolve issues quickly and accurately

•Use of case management system (I.E. Mantas) to supervise money movement activities for clients and employees of the firm and open AML cases.

•Used database software to manage fraud case investigations for clients, and record results for compliance and productivity tracking purpose.

•File Suspicious Activity Reports (SAR's) with financial crimes unit.

•Assisted with branch and OSJ exams.

TD Waterhouse Investor Services, Inc. -Senior Account Officer, E Document Review.

October 2003 to November 2006

•Managed workflow (approximately 200-250 items per day) for the review and approval of all types of account applications, forms, and correspondence forwarded to North East Operation Center.

•Managed workflow (approximately 200-250 items per day) for the review and approval of all types of account applications, forms, and correspondence forwarded to North East Operation Center.

•Reviewed customer correspondence, applications, divorce papers, 407 letters, tax leaves, subpoenas, and restraining orders to verify all accounts are following the USA PATRIOT Act & TD AMAERITRADE policies and producers.

•Supported other business groups in asset retention by communicating with Branch Managers and CRM Associates when high value client ACAT forms were received.

•Coordinate with various departments and worked closely with them in resolving client issues (ATS, Compliance, Fraud, Margin, Call Center, Branch Network, Marketing, Retirement Plans, New Accounts and Legal Transfer).

•Trained and coached newly hired associates on TD Ameritrade policies and procedures.

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