Lisa Carbone Email and Phone Number

Assist the Fixed Income Department in proactively mitigating compliance and regulatory risk through the review, investigation, and documentation of surveillance alerts and reports for various domestic offices.• Analyze markups and sales credits to determine if they fall within internal regulatory guidelines . Make additional inquiries to management and documented results.• Completed a Quality of Markets Report that compared the departments trades with the market activity on a daily… Show more Assist the Fixed Income Department in proactively mitigating compliance and regulatory risk through the review, investigation, and documentation of surveillance alerts and reports for various domestic offices.• Analyze markups and sales credits to determine if they fall within internal regulatory guidelines . Make additional inquiries to management and documented results.• Completed a Quality of Markets Report that compared the departments trades with the market activity on a daily basis. Gather market data such as volatility. Make additional inquiries to management and documented results.• Evaluated master accounts and created a tiered credit limit plan to adhere to the regulatory guidelines of the Market Access Rule. • Participated in group discussions with other departments and technology to address the requirements of the Market Access Rule. Developed automated credit limit warnings. • Performed a review of approved inventory limits and reconciled the report for any market value issues.• Reviewed the previous days trades via the TRACE/TRAQS website to determine if the trades were reported to the corresponding regulatory agency within the allotted time window. • Completed detailed monthly analysis of trades not reported accurately or timely. Scheduled monthly "focus" group meetings to discuss the analysis and any further action plans.• Performed a daily detailed trade analysis which provided a percentage of late trades by category and the inventory trade count totals.• Review the completed internal or external branch audits and respond to Compliance or the Regulator.• Responded to Internal Audit and AML requests for information.• Constructed management's trade blotters and tracked management daily reviews on a spreadsheet. • Updated departmental WSP's (guidelines.)• From 2009-2011, the Market Maker division was under Fixed Income. The division was closed in 2011. Show less

Assist the Private Investment Management (part of the Investment Management Division) in proactively mitigating compliance and regulatory risk through the review, investigation, and documentation of surveillance alerts and reports for domestic and international offices.• Analyze client portfolios which include domestic and international financial products, trading activities, and structured transactions. • Investigate branches and financial analysts for suspicious transactions.•… Show more Assist the Private Investment Management (part of the Investment Management Division) in proactively mitigating compliance and regulatory risk through the review, investigation, and documentation of surveillance alerts and reports for domestic and international offices.• Analyze client portfolios which include domestic and international financial products, trading activities, and structured transactions. • Investigate branches and financial analysts for suspicious transactions.• Communicate issues identified during surveillance reviews with management and branch administrators and oversaw their responses to the issues. • Provide documentation and insight on branches and financial analysts for internal disciplinary actions and reviews.• Write, implement, and review of all compliance/risk related programs for the Business Control Unit including the PIM Compliance Manual and Supervisory Manuals. • Act as the PIO (Personal Investment Officer) which includes approval of personal trades and review of the restricted list.• Ensure reports are reviewed for money laundering issues and adherence of incoming/outgoing emails to the Internet policy.• Create detailed spreadsheets outlining branch trends for upper management.• Assist with the planning and testing of Continuity of Business activities.• Investigate branches and financial analysts for suspicious transactions.• Organize evidence for legal settlements, arbitrations, and regulatory inquiries/ examinations by the NASD, NYSE and SEC. • Answer compliance/risk related questions for all branch offices.• Review the completed audits and participate in audit ratings.• Coordinate projects to ensure successful implementation of new compliance requirements. Show less

GLOBAL RISK MANAGERResponsible for ensuring that Equity Research takes a comprehensive and coordinated approach to meeting internally and externally imposed control requirements.COMPLIANCE ANALYSTOversee branches within the Salomon Smith Barney division.• Answer compliance related questions for approximately 100 branch offices.• Recommend client contacts, updating client profile information and restricting account-trading activity.• Investigate branches and financial… Show more GLOBAL RISK MANAGERResponsible for ensuring that Equity Research takes a comprehensive and coordinated approach to meeting internally and externally imposed control requirements.COMPLIANCE ANALYSTOversee branches within the Salomon Smith Barney division.• Answer compliance related questions for approximately 100 branch offices.• Recommend client contacts, updating client profile information and restricting account-trading activity.• Investigate branches and financial analysts for suspicious transactions.• Perform analysis on mutual fund and annuity business.• Provide documentation and insight on branches and financial analysts for internal disciplinary actions and reviews. Show less

COMPLIANCE MANAGEROversee analysts that monitor and assist the Northern division branches/financial analysts with compliance and regulatory issues.COMPLIANCE ANALYST•Performed duties of a Compliance Analyst for 1 ½ years until promoted to the Compliance Officer position.

COMPLIANCE AUDITOR/ANALYST Determine how branches have complied with requirements of specified laws and regulations.• Responsible for various audits of Quick and Reilly/Fleet branches.• Check client accounts for compliance with option limits.• Investigate actively traded client accounts.• Prepare branches for possible audits by state and regulatory agencies.• Research any suspicious trades or activities within branches.• Examine unusual customer activity including… Show more COMPLIANCE AUDITOR/ANALYST Determine how branches have complied with requirements of specified laws and regulations.• Responsible for various audits of Quick and Reilly/Fleet branches.• Check client accounts for compliance with option limits.• Investigate actively traded client accounts.• Prepare branches for possible audits by state and regulatory agencies.• Research any suspicious trades or activities within branches.• Examine unusual customer activity including wires or withdrawals.• Answer various compliance-related questions from branch managers, registered representatives, and customers.• Periodically check employees’ credit reports and inquire if they have any accounts outside this firm. Show less