Michael Mcgourty Email & Phone Number

Greater Boston Area

Review communications and trade activity on high Risk personnel to prevent market manipulation and illegal activities.Perform Risk assessments on business units with direct and in-direct trading activitiesIdentify trade related risk that deviates from company policies, regulatory and industry standardsWork directly with Compliance, Legal, Securities Finance and FX sales and trading to continue to expand and define Surveillance groupManage List of consistently growing covered persons to assure all communications and trades are monitored on various platformsDevelop and maintain regulatory controls

Greater Boston Area

 Validate and review all daily activity while maintaining required controls Implemented advanced tolerance checks for NAV dissemination eliminating reporting errors  Receive and resolve inquires Communicate effectively with clients Calculate NAV’s and process fund expenses Automated End of Night expense account checks resulting in decreased manual entry errors  Implemented advanced tolerance checks for NAV dissemination eliminating reporting errors

 Answered queries  Posted trades on behalf of fund clients Streamlined Monthly reporting resulting in better overall efficiency  Managed over 23 clients, including money market, mutual funds and ETFs  Facilitated trading between Clients and Broker/Investors Was instrumental in Windows 7 migration testing programs and applications Identified faulty programs and worked with developers to remedy the problem