Anthony Maimone Email & Phone Number

Princeton, N.J.

A member/officer of the organization’s executive leadership team; responsible for all of the organization’s day-to-day compliance oversight. Specific responsibilities and accomplishments include:• Internal Audit Program & Process Controls. Introduced company-wide internal audit program, mapping and testing of the organization’s key processes and making recommendations for policy modifications/updates. • Code of Conduct & Ethics Training. Implemented the organization’s Standards of Conduct policies and Ethics Hotline protocol for employees and board members. Introduced “Insight into Compliance & Ethics” quarterly periodical for employees, including periodic ethics training; provide guidance related to conflict of interests matters. • Corporate Governance & Investigations. Assist the Board of Directors, President (CEO), CFO, Director of Human Resources, and other department heads in various corporate governance and business ethics-related matters, including handling of investigations, external client, regulatory, and legal communications, and Board presentations.• Risk Management Programs & Resources. Developed risk-based matrix to monitor international school safety concerns and adherence to various rules and regulations. • Policy & Procedures Development. Assisted in the writing and development of the company’s various departmental policies and procedures; including information technology policies, records retention, retirement plans oversight, privacy act, social media, the company’s public website’s terms and conditions, and school handbook policy templates. • International Compliance Liaison. Provide international schools’ superintendents with day-to-day risk management solutions and frequent consulting services related to developments in school law and assistance in responding to sensitive ethical and legal matters. Undertake client-service oriented approach to all compliance initiatives.

Red Bank, N.J.

Joined the organization shortly after Congress passed the Sarbanes Oxley Act of 2002 in order to implement measures for adherence to the regulation’s new requirements. Specific responsibilities and accomplishments include:• Management of the Company’s Corporate Compliance Program. Introduced and developed the Company’s Corporate Compliance Area, reporting to the Corporate General Counsel. Responsible for day-to-day compliance supervision, including adherence to NYSE and NASDAQ public listing requirements, SEC rules and regulations, Sarbanes-Oxley Act, and other regulatory agencies as may be required; supervise staff responsible for company’s overall record retention program, formation of legal entities/subsidiaries, and general administration of the Corporate Legal Department; management of the quarterly CEO and CFO certification disclosure controls and procedures; facilitate due diligence related to the Company’s credit facilities and bond indentures.• Primary Liaison between Management & Non-employee Directors of the Board. • Drafting of Internal Policies & Procedures & Legal Disclosures. Responsible for drafting internal policies and procedures related to compliance and legal issues such as insider trading, affiliate transactions, creation of legal entities, safeguarding personal information, and company-wide record retention program; responsible for drafting annual proxy statement, 8-K filings related to required public disclosures and quarterly earnings press releases.• Diversified Internal Compliance Support for IT, HR, Audit, and Legal Personnel. • Ethics & Fraud Education. Wrote the Company’s Code of Ethics and Fraud Policy for employees and business partners; established Ethics Hotline; introduced ethics-educational literature and policies and procedures for reporting of complaints; established ethics log and report of significant open litigation to Audit Committee.

Weehawken, N.J.

Provided compliance oversight for one of the key compliance divisions for the U.S. based brokerage arm of the organization (formally known as UBS - PaineWebber, Inc.). Specific responsibilities and accomplishments include:• Managed Surveillance of Diversified Products. Managed staff of nine responsible for sales practice surveillance, involving all diversified financial products, including securities options, mutual funds and annuities, for UBS’s Private Client Group active accounts and financial advisors (approx. 360 branches and 8,000 brokers).• Formulated New Compliance Surveillance Policies & Reports. Extensive writing, communication, and assisting management in formulating compliance policy and overall plan of supervision, including development and testing of various surveillance reports for the detection of potential misconduct or fraud. • Initiated Internal Disciplinary Action. Recommendation of trading restrictions, client contact correspondence by branch manager, and financial advisor related discipline (i.e., business plans, letters of education) following extensive internal account analysis and investigations.

Parsippany, N.J.

The Royal Bank of Canada (RBC Dain Rauscher) acquired J.B. Hanauer, the privately held financial services firm that specializes in retail fixed income and wealth management services with close to 10 billion in assets under administration.Advanced from compliance analyst to become compliance manager/vice-president for the organization’s largest producing branch office. Specific responsibilities and accomplishments include:• Compliance Assistant to Branch Manager. Advised and assisted Branch Manager of firm’s largest producing branch office in all compliance related duties.• Investigation of Potential Misconduct. Responded to all client inquiries and complaints, conducted detailed account analysis, supervised all operations investigations, including interviewing of brokers, preparation for external audit, review of pertinent legal documents/account set-ups, and recommend account restrictions.

New York City, N.Y.

Responsible for compliance oversight related to financial transactions for one of the organization’s most active regions. Specific responsibilities and accomplishments included: • Monitor Regional Sales Activity. Monitor all brokerage trading activity within region, approve third party disbursements, request client contact, update of organizational docs as needed, restrict and close accounts involving security law violations, monitor trends, report findings to Regional Director/Legal Dept.• Diversified Training in Potential Misconduct. Compliance supervision involved potential detection of broad financial misconduct, including misrepresentation, unsuitable transactions, money-laundering, insider trading, profit and loss discrepancies, licensing issues, improper switching or churning, and other examples of potential fraud.