• Monitored actively traded client and employee accounts. Emphasis was placed on finding unsuitable trading activity, suspicious activity including money laundering, insider trading, front running, piggybacking, as well as position exposure. Also, reviewed incoming and outgoing emails, and advised management of concerns including violations of firm policy and regulatory rules verbally and in writing.• Performed daily reviews of options and mutual fund exception reports in order to detect patterns of volatile and inappropriate trading activity. Made recommendations and proposed corrective action to branch management.• Acted as a liaison with branch management providing support and solutions for various issues.• Collaborated in the development of periodic options surveillance reports.• Conducted research into suspicious activities, which in-house attorneys reported to the Securities and Exchange Commission.• Prepared a standardized questionnaire, which addressed actively traded accounts, accounts with large margin debit balances and position exposure, thereby making the process of preparing account inquiries easier, and significantly more efficient.• Participated in the preparation of escalation procedures for account inquiries to branch management, which resulted in dramatically reduced response time.• Approved customer accounts to trade uncovered options in large contract sizes, for 80% of the firm’s retail branches. Documented approvals with account forms and other supportive documentation.• Received a high cross evaluation rating from Merrill Lynch colleagues.

• Reviewed customer trading activity of Smith Barney’s entire mid-west division, which included 85 branch offices.• Analyzed transaction reports with a focus on identifying suitability issues, suspicious activity including money laundering and regulatory and risk concerns. Reviewed concerns with branch management, and recommended appropriate actions orally and in writing.• Performed comprehensive reviews of registered representatives with a history of customer complaints, thereby enabling management to address problematic situations.

• Conducted on-site compliance branch examinations, and reported findings orally and in writing. Also trained others to conduct on-site compliance branch examinations.• Responded to customer complaints and regulatory body inquiries regarding customer complaints, in writing and verbally.• Reviewed reports on actively traded client accounts, with a focus on options, commodity, mutual fund and annuity trading activity, for violations of firm policy and regulatory rules. Recommended appropriate courses of action to branch management. • Reviewed communications with the public prepared by registered representatives.• Reviewed outside activities of registered representatives.• Complemented by management for satisfactorily representing the firm in a court of law, in connection with a securities fraud.