Michael Brown Email & Phone Number

Greater New York City Area

-Conduct daily, weekly, and monthly monitoring of existing trade surveillance reports for the Firm's Capital Markets Global Equities and Fixed Income businesses. -Develop and implement new surveillance reports as required.-Assess and monitor the Firm's regulatory reporting processes.-Review and comply with Firm Policies applicable to the business units the.

Greater New York City Area

-Performed electronic communications surveillance using Compliance and Discovery Accelerator -Worked with colleagues in Equities, Fixed Income, Investment Banking, Research, Regulatory Reporting and Compliance to improve e-communication program-Trained new analysts and contract employees on e-communications review.

Greater New York City Area

Greater New York City Area

-Performed routine surveillance of electronic communications (e-mail, instant message, fax, Bloomberg)-Ongoing assessment of surveillance efficiency-Manage the escalation and resolution of items that may present concerns-Maintain and provide metrics for reporting to management-Perform UAT testing as required when system upgrades are scheduled.

Greater New York City Area

-Equities Clerk

-Equities Clerk

-Equities Clerk