Mary A. Persaud Compliance Officer

adhjzy@r.postjobfree.com 347-***-**** Bellerose, New York 11426

Detail-oriented professional with experience in the financial sector. Solid understanding of federal regulations, local and corporate policies and procedures. Adept at analyzed workflow and forming means for process improvement. Effective team collaborator and skilled trainer in policies and methods. Skilled analyst in reviewing complex documentation and auditing financial records, executing accurate reports in high-pressure, deadline-driven environment. Areas of expertise include…

Regulatory Compliance

Portfolio Management

Account Administration

Trade Settlements

International Currency Exchange

Cash Management

Professional Experience

Credit Suisse • New York, NY • July 2019 to Present

Americas Personal Account Compliance Analyst – Consultant

Assisting the Employee Compliance and Control Room teams in NY with reviewing and maintaining the correct classifications of personnel into the appropriate categories in the bank’s Personal Account Trading system and assist in other departmental projects.

Answer employee emails and calls of questions about Credit Suisse/Regional Personal Account Trading procedures and rules.

Guide new hires within department on how procedure works and assist during day to day functions

Reconcile employee’s retail accounts held at non-designated brokers and other clean up projects.

SOCIETE GENERALE • New York, NY • March 2019 to July 2019

Central Compliance Analyst - Consultant

Support the US Employee Investments and Outside Business Activities project rebuild. Perform routine employee trade surveillance and other departmental support function. Assist with system testing on the new platform.

Monitor daily employee trading and pre-clearances

Interact with employee population with respect to policy and potential violations

Investigate and follow up with problematic transactions and requests

Perform quality assurance tasks and follow up on results of Annual Certifications output

Test functionalities in the new system development

MIZUHO BANK LTD • New York, NY • October 2018 to January 2019

Control Room Analyst – Consultant

Working within the Firm's Control Room and being responsible for daily control room tasks, the preparation of routine reports, and managing the Firm's information barriers and Compliance regulations.

Maintain and monitor employee brokerage accounts. Timely follow-up with registering users, account disclosures and brokerage firms, to establish or remove accounts from electronic data feed.

Watch list/Restricted list maintenance.

Prepare and analyze trading data for Key Risk reporting.

Support affiliates to manage issues involving shared employees.

General knowledge of insider trading laws.

Experience with handling compliance issues in a U.S. financial institution, including related to insider trading monitoring, policy and procedure control, information wall crossings.

BNP PARIBAS • New York, NY • August 2015 to November 2017

Personal Account Dealing (PAD) Officer AVP

Supported the business operations in the U.S., Canada, and Latin America; managed conflicts of interest and reduced risks. Managed Outside Business Affiliations (OBA) process. Ensured compliance with Financial Industry Regulatory Authority (FINRA) rules. Directed compliance activities in the organization; prepared monthly reports and reviewed for possible violations.

Investigated and resolved PAD policy violations.

Conducted compliance orientation for new hire.

Downloaded and analyzed employee trades from designated brokers; reviewed pre-clearance and trades executed in employee and employee related accounts.

Prepared annual compliance acknowledgement and certifications

Due diligence on new clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new clients

Perform further investigation on identified suspicious client and client’s transactions and report to KYC/AML compliance officer;

Reviewed all required AML/ KYC Regulatory requirements for all clients and analyzing any transactions that appear unusual based on the customers profile

JPMORGAN CHASE • Jersey City, NJ •January 2000 to January 2015

Legal & Compliance Personal Trading Analyst, 2011-2015

Monitored employee trading to prevent transactions based on non-public information. Enforced policies establishing trading regulations; added requirements for preclearance of person securities transactions and the use of designated brokers. Advise employees on meeting requirements. Investigate employee transactions for violations of legal and corporate policies. Reviewed monthly account statements. Maintained corporate compliance policies and procedures; trained team in standards. Contributed to the transfer from manual to automated records.

Assists with monitoring internal controls and communication avenues (compliance hotline, written correspondence, emails, and phone calls). Responds as appropriate, keeps logs, maintains systems and prepares reports.

Investigated and advised on violations related to employee trades.

Improved productivity by 33% through the automation of manual processes.

Long Term Fixed Income Trade Support Specialist, 2002-2011

Managed trades for fixed income securities including governments, agencies, emerging markets, high yield, and investment grade corporate bonds. Researched failed trades and posted trade execution discrepancies. Investigated and resolve broker claims and custodial account overdrafts.

Utilized DTC, Fed. Euroclear, Cedel, and Crest settlement processing.

Created procedures to settle foreign bonds in local or domestic currency.

Cash Management, 2000-2002

Advised traders hours of cash flow trends and available balances. Monitored account overdrafts.

Monitored excess cash holdings in over 300 mutual fund accounts ranging into billions of dollars.

Coordinated accurate and timely settlements between traders and third-party custodians.

Education

Bachelor of Science, Computing Management

Lehman College •Bronx, NY

Technical Skills

Bloomberg Euroclear TradeWeb AccountNet Oasys Alert Microsoft Office

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