Management Assistant

Tiffany Chan

Brooklyn, NY

Mobile: 917-***-****

E-mail: ************@*******.***

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EXPERIENCE

Natixis North America LLC October 2011 – Present

US Corporate & Investment Banking

Internal Controls - Compliance

• Perform testing of compliance and regulatory related controls to evaluate effectiveness

• Investigate and monitor trading activities to ensure compliance with applicable rules and regulations (i.e. FINRA, SEC, NYSE, FED, CFTC, NFA etc.)

• Ensure first level business unit controls are implemented, performed and recommend improvements and corrective measurements to reduce risk

• Follow-up on action plans to verify that corrective action has been effectively implemented

• Conduct meetings with various business unit management teams to identify and resolve compliance issues

• Monitor employee’s internal emails for inappropriate business conducts and address violations

• Draft extensive reports to management detailing findings and appropriate actions

New York Stock Exchange Regulation, Inc. October 2006 – May 2010

Market Surveillance - Senior Special Regulatory Analyst

• Investigated and analyzed market activities of NYSE members and member organizations for compliance with NYSE Rules and/or Federal Securities Laws

• Reviewed surveillance alerts to detect unusual trading situations that involved possible market manipulation and trading abuses

• Reviewed, investigated and produced detailed written analyses of NYSE floor personnel and specialists’ trading activities in response to potential violations of applicable Federal Securities Laws and Exchange Rules and Regulations

• Interacted and contacted NYSE members and member organizations to obtain appropriate documents for investigation

• Drafted extensive memoranda summarizing analytical findings, securities rule violations, and recommended dispositions to be utilized by NYSE’s Division of Enforcement in the prosecution of member firms and/or individuals

• Assisted in drafting internal policies and procedures and Information Memos to members and member organizations

• Worked on improving and enhancing surveillance alerts to keep up with the everyday changing business environment

• Assisted in interpreting NYSE and SEC Rules and Regulations

J. & W. Seligman & Co. Incorporated October 2000 – October 2006

Investment Analyst

• Monitored client investment guidelines and restrictions to ensure compliant

• Analyzed and reviewed all trading issues, trade blotters and resolved all discrepancies

• Responsible for monitoring research services brought into the firm

• Presented and prepared documentation to compliance to ensure research services are SEC 28(e) eligible

• Reported gain and losses of the firm due to trading errors

• Worked with various departments, liaison between brokers, traders, portfolio managers, client services and vendors

• Maintained and monitored firm’s soft dollar commission budget

• Facilitated vendor’s contracts

Falkor Trading Group LLC. - American Stock Exchange May 2000 – September 2000

Options Trader

• Traded and hedged Options on the trading floor of the American Stock Exchange

• Made and honored two sided market (bids and offers)

• Heavily interacted with specialists, brokers and market makers to execute trades in the open market

• Calculated and investigated daily profit and loss of trading position

• Researched and analyzed equity securities on a daily basis

• Worked in fast-paced environment

AGS Specialist Partners - American Stock Exchange February 1998 – April 2000

Specialist’s Assistant

• Interacted with brokers and traders to maintain a fair and orderly market

• Executed options and equity trades as soon as market conditions permitted

• Made a market by publicizing the terms on which it can be traded to brokers and market makers

• Assisted in hedging options positions with offsetting futures positions

Sage Clearing - American Stock Exchange August 1994 – March 1996

Trader’s Assistant

• Took orders over the phone and reported executions to traders

• Oversaw trade breaks and resolved trades for proper clearance and settlement

• Responsible and maintained traders’ positions

EDUCATION Baruch College – Bachelor of Business Administration Degree in Finance

Passed the American Stock Exchange Membership Examination

SKILLS Knowledge of NYSE equity auction market, options market, NYSE, FINRA, and SEC Rules and Regulation,

Federal Reserve Act, Bank Secrecy Act, New York State Banking and Investment Advisory Act of 1940

Microsoft Word, Excel, Outlook, Instinet, Brio, Web CRD, Bloomberg, Alert Case Management System, Order Management Systems, Liquidnet Trading System, and Compliance Accelerator

Language: Fluent in Chinese (Cantonese)

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