Dan Mullane Email & Phone Number

Boston, Massachusetts, United States

Greater Boston Area

- Provide administrative support as needed- Prepare and send monthly, quarterly and annual guideline compliance certifications for clients- Review new employee accounts to determine if they are reportable and/or require any exemptions from the company's Code of Ethics rules- Draft exemption memos as necessary- Set up employee accounts in PTA and send 407 request letters to brokers- Review broker account statements for employee accounts and ensure holdings and transactions are correctly entered into PTA- Set up new securities in PTA- Manually review employee pre-trade clearance requests that do not pass all automated checks- Review daily PTA data exception reports and correct data errors