Management System

JOELLE EDWARDS

* ***** ******** **** *********, NY 10977

845-***-**** 845-***-**** Mobile

***********@*****.***

OBJECTIVE:

To obtain a position in the financial industry that will fully utilize my current skills while providing opportunities for future personal and professional growth.

EDUCATION:

M.B.A Business Administration, University of Phoenix (9/2009)

B.B.A Business Management, Monroe College (6/2006)

WORK EXPERIENCE:

Compliance Analyst-Bank of New York Mellon Corporation, New York, NY (10/07-Present)

Monitor daily, weekly, and monthly compliance procedures for a group of funds to include gross income asset and tax diversification compliance.

Completing the daily review of automated compliance reports, researching, and resolving compliance exceptions using investment systems and tools such as Charles River, Invest One and Bloomberg.

Responsible for completing monthly compliance reports for a variety of mutual fund groups.

Analyze portfolio and confirm that they are in compliance with respective prospectus, SAI, regulatory SEC and IRS tax diversification rules.

Respond to inquires from clients and effectively assess/identify potential issues and risk to the client and firm personnel.

Reporting fund data to internal and external parties including IRS diversification reporting.

Keeping abreast of the various laws, rules, and regulations regarding Advisors Act of 1940.

Perform periodic testing for compliance with the 1940 Act and other applicable laws.

Assist in the SEC Audit, Internal Audit and Client due diligence meetings.

Review post trade compliance results and validate post trade-execution and end-of-day compliance results using the Charles River investment management system.

Perform ad hoc Projects.

COMPUTER SKILLS: MS Word, Excel, Power Point, Quick Books Pro 2002, Charles River Investment Management systems, Sunguard-InvestOne Enterprise, and the Internet.

References Shall Be Provided Upon Request

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