Chief Compliance Social Media
Resume:
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EXPERIENCE
Vice President
Morgan Stanley New York, New York
Work with 13 Finance functional groups to review their policies under development for consistency with the policy governance framework and template
Work with Finance stakeholders and policy owners to help ascertain and define policy needs and determine appropriate documentation (e.g. policy, procedure, guidance)
Assist with determination, assignment and reassignment of policy ownership as required and facilitate discussions between policy owners across Finance and other business lines
Manage regulatory requirements for all divisions within Finance Review Finance policies for consistency with related policies and oversee ongoing rationalization policy efforts
Assist policy owners in identifying key stakeholders and completing the policy review process
Support the management of the Finance policy governance forum, including developing and preparing meeting materials, tracking and maintaining action items and attendance and working with forum stakeholders on various matters
Analysis, review and drafting of committee charters Contribute to policy training initiatives and other strategic initiatives as they arise
Chief Compliance Officer
Blacktower Financial Management (US) LLC
New York, New York
Administering and maintaining the firm's compliance programs in line with the Securities Exchange Commission (SEC)
Knowledge of the Investment Advisers Act of 1940, Regulation S-P, Gramm- Leach-Bliley Act, and Securities Exchange Act of 1934 Oversee and complete regulatory filing requirements including the firms ADV
(via IARD), ADV Part 2A/Part 2B, Privacy Notice, U-4, U-5, Compliance Manual employee attestations, Code of Ethic employee attestations and NYS Sexual Harassment training
Writing, updating and administering corporate policy and procedure including BFM's Compliance Manual, Code of Ethics, Personal Account Dealing (PAD), Portfolio Management, Corporate and Operations, Employee Training's and Client Onboarding
Maintain compliance matters pertaining to new businesses, IFA fees and commissions, breaches, conflict of interests, gifts and errors Manage and oversees tasks among direct reports
Design, execute and monitor employee investment and personal trading account guidelines, email and social media surveillance reviews, marketing material prior to publication, quarterly client reviews and statements Provide guidance, advice and training on educational programs, to improve business' understanding of related laws and regulatory requirements Interact with custodians, providers and regulators regarding compliance issues and coordinate efforts related to audits, reviews, discrepancy notices and examinations
SUMMARY
A solution-focused Vice President with over
a decade of experience working in the
Financial Industry. Responsible for
facilitating regulatory risk assessments and
overseeing, developing, identifying, and
maintaining a global financial firm's robust
Compliance program across multi-
business lines.
FIND ME ONLINE
linkedin.com/in/michelle-jaipaul
EDUCATION
Bachelor of Arts
Psychology and Sociology
Queens College, CUNY
Flushing, New York
SKILLS
SEC Regulatory Requirements OFAC
Audits Risk Assessment Integrity
Conflict Management FINRA CRD
Oversight Code of Ethics
Leadership Compliance Policy
IARD Team Player
Compliance Procedures Analytical
Due Diligence
Business Management
Intestinal Fortitude
Relationship Building
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MICHELLE JAIPAUL
Chief Compliance Officer
646-***-**** ********.*.*******@*****.*** New York, USA C 2018 - 2019 +
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C 2017 - 2018 +
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C 2015 - 2017 +
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EXPERIENCE
Chief Compliance Officer
Castlestone Management LLC
Jersey City, New Jersey
Carried out a compliance program for a RIA Firm, engaged in the investment advisory business and registered with the NJ Bureau, and the British Virgin Islands Financial Services Commission
Interpreted regulatory rules, provided guidance to staff, developed, updated and maintained the policy and procedure manual, code of ethics manual, and employee training's
Provided compliance sign off on all employee trade requests, advertising and marketing material
Responsible for executing regulatory filings with the NJ Bureau and the BVIFSC including ADV Amendments, U-4 and U-5 submissions, CM and COE initial, quarterly and annual employee attestations Managed complaints, conflicts of interests, breaches, errors, market abuse controls, anti-money laundering controls and all NJ and BVI audits Maintained knowledge on regulatory issues, new legislation, company policies and products as appropriate
Global Compliance Officer
JP Morgan Chase & Co.
Jersey City, New Jersey
Provided approvals to employees for daily trade requests, and completed monthly audits for the firms top executives and employees subject to the Personal Account Dealing policy
Provided regulatory and policy guidance to employees; assisted the firm's Legal Department and Regulatory Management group with the preparation of documents in response to regulatory inquiries (insider trading, conflicts of interests, registration requirements) and exams
Participated in strategic projects to streamline and automate firm-wide control processes
Completed Regression User Acceptance Testing (UAT) via the Application Lifecycle Management (ALM) system in order to safeguard and validate application compatibility and test scripts
Timely preparation and maintenance of compliance and risk management reports, databases, control metrics and policies and procedure guides Reviewed and investigated employee conduct matters and collaborate with Human Resources, Employee Relations, business managers, and Global Security and Investigations to resolve employee compliance issues Business and Reporting Analyst
JP Morgan Chase & Co.
Jersey City, New Jersey
Supported the contract validation initiative for Contingent Worker’s (CW’S) Provided recommendations for necessary controls, and acted as a key participant to drive the development of policy and procedures Evaluated and mitigated risk related to CW’s access to JPMC physical and electronic environment
Provided vendors and the Global Security and Investigation team with training's, guidance, process screening confirmations, background checks and fingerprints for all CW's
Completed all Regression User Acceptance Testing (UAT) via the Application Lifecycle Management (ALM)
Created, tracked and monitored weekly reports in order to provide financial analysis including projections, trends and analytical goals to upper management
Maintained the Global Supplier Service team's regulatory requirements, reports, discrepancies, and audit trails
AVERAGE WORK DAY
New Client Onboarding
Regulatory Analysis
Regulatory Audit
Portfolio Management
Employee Compliance Training
Documentation
Trades
Presentation
FUN FACTS ABOUT ME
Life is a cycle designed to create
unforgettable experiences. I believe
in working to the best of my ability,
spending quality time with my loved
ones and doing what I enjoy the
most.
I enjoy singing in my church choir,
helping youths, adding value to
others lives, and participating in
charity events.
I embrace a healthy lifestyle and
have a passion for working out,
swimming and playing sports
I enjoy traveling and exploring foods
from different ethnic backgrounds
C 2009 - 2015 +
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EXPERIENCE
Relationship Manager
JP Morgan Chase & Co.
Forest Hills, New York
Recommended and executed financial products to consumers and business customers
Extensive knowledge of the Bank Secrecy Act, Patriot Act, ERISA, KYC, OFAC, SAR, AML and CTR
Analyzed daily transactions in and out of client account in order to identify current or emerging trends linked to illegal activities Ensured that risk controls and compliance policies were obeyed Ranked Nationally (Top 20 % in the country), and recognized as a prolific contributor in a driven and competitive environment
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