• Partner with compliance officers for identification of laws, obligations, risk evaluation and monitoring program for business areas including, but not limited to, Treasury Services, Wealth Management, Corporate Trust, Custody, Securities Operations, Depository Receipts, Unit Investment Trust, Exchange Traded Funds and Alternative Investment Services.• Prepare monitoring programs which identify laws/obligations relevant to the business.• Establish objectives and procedures for testing/monitoring the activities relating to relevant laws/obligations.• Perform the testing and prepare written analyses of compliance monitoring activities for senior and executive management. • Detail remedial actions to be taken for issues that are identified including target dates and then track open issues to completion of agreed upon actions.• Enter results of compliance testing into the monitoring database, and coordinate dissemination of the results to the business area with the business compliance officers. • Validate control processes to ensure compliance with laws, rules and regulations.

• Designed and executed audit procedures to provide independent and objective assurance about the design and effectiveness of internal controls over risks inherent in the Bank’s processes and activities.• Reported audit results to management, executive management, and the audit committee.• Prepared, monitored, and managed internal audit engagements.• Performed follow up audit testing of engagement observations to ensure that management completed its action plan timely and as stated.

• Monitored daily fixed-income trading activity via the Charles River Compliance system for defined benefit plan, endowment, mutual fund, and insurance portfolios to ensure compliance with contractual plan guidelines and current regulatory rules.• Maintained current fixed-income compliance system for client updates.• Prepared monthly and quarterly composite performance results and market placards for over 30 performance composites including year to date results, past performance, and current industry guidance.• Approved personal security trading for firm employees.• Completed semi-annual due diligence reviews of firm client’s fee structure to ensure compliance with contractual plan guidelines and current regulatory rules.• Wrote and implemented policies and procedures related to the firms activities which but are not limited to soft dollars, significant cash flow activity, new account set up, “most favored nations” contract clauses, futures trading account set up, contract reviews, and annual account reviews.

• Performed complex control risk based audit fieldwork procedures to ensure compliancewith corporate policies and procedures, objectives, governmental regulatory requirements, and associated risks.• Evaluated and assessed key risks and exposures with various businesses and systems throughout the Corporation.• Provided audit clients with useful and practical business and systems recommendations for improvement in their operations and control environment.• Demonstrated a working knowledge of a diverse range of risk review area, their range of responsibilities and their relationships within the corporation.• Communicated to the auditee and audit managers potential issues uncovered during reviews.

• Analyzed and distributed daily revenue reports.• Processed various client account maintenance including new client set-up, account additions and terminations, CUSIP and broker restrictions.• Calculated monthly revenue, special client payments and tiered fee split changes using Excel.• Other responsibilities have included: broker billing reconciliation, investment yield verification, special deal calculations, SCC reconciliation, balance sheet analysis, failed loan adjustments, updating broker payment instructions, and negative loan analysis.