• Oversaw review and research of daily portfolio compliance alerts and warnings with respect to regulatory and internal rules and restrictions as reported by the compliance engine within Aladdin. Coordinated and supported non-Aladdin based compliance monitoring, such as, borrowing, derivatives, segregation, 17a-7 transactions, trade allocations, liquidity, 2a-7, and average life. Created and coded processes to automate daily, weekly, and monthly reporting functions to reduce compliance team workload via complex macros within Microsoft Excel.Provides guidance to compliance team members regarding issue resolution and involvement of various internal Pioneer business units

Conducted testing for the conversion of compliance system rules from Charles River Development software to BlackRock Aladdin trading software.Performed issue resolution for the malfunction of compliance rules converted from Charles River to BlackRock Aladdin.Identified process and procedural changes required for more optimal operational effectiveness.Provided communications between business and vendor partners to utilize and simplify data for better performance and effectiveness of the compliance system.Reviewed Investment Management Agreements and SEC regulations to ensure the capture of required data via the new compliance software to ensure regulations and guidelines restrictions are not breached.

Actively reviewed and monitored numerous clients' investment guidelines and regulatory restrictions involving 1940 Act funds, UCITS and ERISA funds.Reviewed and analyzed the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes.Participated in specialized projects that involve interactions across MFS and its subsidiary companies.Ensured that all applicable regulatory filings were filed in the appropriate timeframe

Performed daily leverage calculations for miscellaneous Fidelity Fixed Income Funds.Conducted daily calculations for intraday liquidity for Fidelity Fixed Income Funds.Maintained compliance files and documentation.Reviewed and revised compliance policies and procedures in accordance with Rule 206(4)7 of the Investment Advisers Act.Performed ad hoc projects to assist the Asset Management Compliance Team.

Provide daily monitoring of client guidelines. Document trade errors and monitor mitigation procedures. Provide initial review and interpretation of client account investment restrictions. Perform the preparation and remittance of domestic and foreign regulatory filings and reporting.

•Monitored and conducted reporting on trading activity including: IPO's/New Issues, cross trading, restricted securities transactions, trade errors, affiliated trading, cancelled trades, and corrected trades using Charles River.•Worked with Trading Compliance Manager on amending, updating and evidencing daily, weekly, monthly and ad hoc supervisory oversight of trading related supervisory policies and procedures.•Prepared Section 13 regulatory filings Forms 13F and 13G with the Securities and Exchange Commission.•Assisted the Trading Compliance Manager to identify trading related risk areas and to integrate risk mitigating trading compliance controls and monitoring requirements into the related business processes.

Performed capital assessment and planning analysis for the Comprehensive Capital Analysis and Review exercise required by the Federal Reserve.Reconciled and forecasted bank financial holding information to accurately conduct Federal Reserve exercise.Conducted stress testing pertaining to hypothetical stress impacts put forth by the Federal Reserve in order to assess the bank's capital adequacy in the event of a significant financial crisis

Performed compliance and economic sanctions in accordance with the Department of the Treasury Office of Foreign Asset Control , Bank Secrecy Act, and international anti-corruption and anti-money laundering laws.Researched and escalated economic sanction issues and requests from the Financial Crimes Enforcement Network (FINCEN) pursuant to Section 314(a) of the US Patriot Act.Development and implementation of new AML and KYC initiatives, processes, and systemsReview transactions and account changes in an analytic, forensic and investigative standpoint and prepare Suspicious Activity Reports (SAR) and recommend appropriate follow-up as needed.

Performed oversight and testing of policies and procedures pertaining to Fidelity's advisors and sub-advisors in accordance with Rule 38a-1 of the Investment Company Act and Rule 206(4)7 of the Investment Advisers Act.Performed reporting and analysis for senior management of the Sales Practice Compliance Unit while enhancing the overall compliance program with ongoing business and regulatory developments.Investigated unusual transaction patterns in client accounts and forwarded to proper regulatory authority for further investigation and assessment of fines and penalties.Designed and implemented a data analysis process for entering and extracting data across various applications and systems to identify anomalies for further research and investigation that reduced assessment requests by 80%Performed annual and periodic updates of Form ADV and maintained data for soft dollars in accordance with Section 28(e) of the Securities Exchange Act of 1934Conducted audits of company email accounts and investigated unauthorized correspondence to maintain compliance with applicable Financial Industry Regulatory Authority (FINRA) and Security Exchange Commission regulations.

Design, develop, test and produce reports to provide data from various Microsoft applications in support of company owner.Research real estate data from internet sources and city, town, and county records for implementation into the company's custom designed system.

Educated 401K participants on investments and concepts in preparation for establishing their retirement accountsProcessed transactions involving stocks and mutual funds in accordance with the SEC regulations & IRS Code at the request of 401K participants.SKILLSOperating Environments: Windows (NT, 98, etc.), Macintosh, MS-DOS, UNIXApplications: Microsoft Word, Access, Excel, PowerPoint, Siebel CRM, BRIO, Fircosoft