Financial Compliance

REENA JHALA TRAPANI

**********@*****.*** ♦ *** North Eldridge Pkwy, Houston, TX 77079 646-***-****

PROFESSIONAL EXPERIENCE_____________________________________________________________

Bear Stearns & Co., Inc., New York, NY May 2007 to August 2008

Equities Compliance Analyst, VP

• Specialized in issues relating to OTC Market-making / Agency / International / Block / Risk Arb / Derivatives desks, especially pertaining to Reg NMS trade execution, reporting, and analysis

• Provided OATS statistical tracking and trouble-shooting, including analyzing new system flows and reducing interfirm mismatches for BEST and its clearing/correspondent customers

• Supported legal inquiries team with trading and market making analysis

Banc of America Securities, LLC, New York, NY May 2004 to May 2007

Global Markets and IB Compliance Manager, VP

• Led team of four compliance officers in communications and projects involving trading practices on the institutional trading desk, derivatives trading desk, program trading desk, and prime brokerage business

• Identified issues and problems relating to potential market manipulation, trade reporting, and technology infrastructure for trades in listed and over-the-counter equity securities (NYSE and NASDAQ)

• Maintained working knowledge of new and proposed market regulation; interact with line of business compliance and legal personnel as necessary to discuss interpretation and implementation of the regulation

• Enhanced and updated policies and procedures at the WSP level (written supervisory procedures)

Associate - Supervision

• Enhanced risk-management Access database to catalogue and assign all trading errors

• Facilitated trade reconciliation through interaction with equity support, purchase and sales, and trading personnel on trade date, thereby significantly reducing the number of “T+1” errors

• Worked with personnel in management, finance, trading technology, line of business compliance, and trading to assist in ad hoc projects including the expansion of both Agency trading and Cross Border trading

Public Financial Management, Harrisburg, PA July 2002 to December 2003

Analyst

• Structured over $100 million in escrow portfolios and assisted in a series of escrow restructurings that saved clients in excess of $1 million

• Identified alternative investment strategies for bond proceeds using detailed cash flow and sensitivity analysis

• Interacted with internal and external securities traders and portfolio managers in executing dozens of trades for both escrow portfolios and investment portfolios

• Developed initial bidding specifications for structured investment products

• Maintained database of pricing spreads and charts used for competitive benchmarking

EDUCATION______________________________________________________________________________

University of Pennsylvania, Philadelphia, PA May 2002

The Wharton School

Bachelor of Science in Economics, Concentration in Finance

Johann Wolfgang Goethe University, Frankfurt am Main, Germany Spring 2000

Wharton-accredited semester abroad with classes focusing on European Central Bank Politics

SKILLS and TRAINING ____________________________________________________________________

• Software: Microsoft Excel and Access, Royal Blue Fidessa (equities trading platform), PinkLink, AS400, ADP

• FINRA Licenses: 7, 63, 55, 24, 3, 4

• Languages: Proficient in conversational and business German, Zertifikat Deutsch – sehr gut

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