• Provide support in the development, implementation and maintenance of compliance programs.• Conduct annual compliance reviews and prepare and deliver compliance training on areas such as portfolio management, expenses, custody, Business Continuity and Disaster Recovery testing.• Prepare and submit annual and quarterly regulatory filings.• Continuously monitor relevant regulatory changes and assist Client’s in developing internal controls• Prepare and deliver compliance training• Conduct ongoing testing for compliance with the Client’s stated policies and procedures

Conducted daily reviews and investigations of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other violations SEC rules/securities lawsAdministered assigned portions of the Compliance program including the Code of EthicsArranged and provide periodic compliance certification and reporting for clientsDeveloped and perform testing of the firm’s policies and procedures and report to the CCO and Compliance CommitteeCoordinated timely completion of all regulatory filings (Federal, State and Foreign) for the FirmWorked with Legal and Compliance personnel to respond to regulatory inquiries or investigations, as neededCreated and maintain records related to the monitoring of the Compliance programReviewed and approve all of the firm’s marketing materialsMember of the firm’s Compliance and Brokerage committees

• Conduct daily reviews and investigations of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other violations of FINRA, NYSE and SEC rules/securities laws; • Provide transactional and general compliance advice to sales and trading desks;• Provide maintenance of the compliance departments watched and restricted lists in dealing with preserving the Information Barriers between their research and trading departments;• Provide guidance and advice to staff regarding all Compliance and Regulatory matters;• Work with Legal and Compliance personnel to respond to regulatory inquiries or investigations, as needed.• Review of Conflicts such as: foreign account opening, trading limits, possible risk events;• Created (U.S.) policies and procedures that incorporate both Global and Local entities business lines in line with FINRA and NYSE guidelines. These include, but are not limited to: Policies and Procedures, Codes of Conduct, Oversight and Review;• Review of new accounts for compliance with the firm’s WSPS, OFAC rules and FINRA rules and regulations. Risk involved with foreign clients versus domestic – subject to review and approval;• Review all Road Show submissions from outside Foreign Affiliated Research Analysts. 15a-6 adherence, understanding and review with analysts and staff regarding Foreign Affiliated Research Analysts risks;• Responsible for Form BD, representative registrations, Forms U4 & U5, exams and continuing education• Responsible for monitoring of all trade reporting for Credit Agricole Cheuvreux NA (OATS, ACT, Bluesheets).

• Daily review and investigation of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other violations of NYSE, NASD Rules and/or federal securities laws; • Provide transactional and general compliance advice to sales and trading;• Assist the Equity and Fixed Income Research, Derivatives, International and OTC desk departments in dealing with compliance, related issues and preserving the Information Barriers;• Provide guidance and advice to staff regarding all Compliance and Regulatory matters;• Work with Legal and Compliance personnel to respond to regulatory inquiries or investigations, as needed.

• Reviewed and investigated market activity in connection with listed securities to detect and identify unusual trading situations that involved possible insider trading abuses, manipulation and other violations of NYSE Rules and/or federal securities laws;• Investigations which included conducting on-the-record interviews with specialists;• Monitored assigned industry groups and stocks for trends and developments in trading activity;• Coordinated surveillance and investigative findings with other Inter-market Surveillance Group members and the SEC;• Prepared closing investigation memoranda with appropriate recommendations for regulatory actions;• Assisted in the training of new staff members.