Regulatory Exams & Oversight Team

I worked in a 2 year rotational program in Compliance consisting of 3 separate 8 month rotations.Bank Advisory/Control Room (Current Rotation) - Aided in monitoring activities related to the regulatory framework and governance program of the Corporate bank.- Researched and conducted Verification Checks on the business in order to help ensure the firm’s compliance with established controls.- Communicated daily with banking teams to request and manage updates to investment banking transactions, conflicts of interests, wall crossings, and material changes to transactions. Electronic Trading Compliance (2nd Rotation) - Participated in reviewing trading systems and algorithms to ensure the firms compliance with the Market Access FINRA Rule 15c3-5- Analyzed data and system testing evidence for control gaps and effectivenessRegulatory Execution (1st Rotation) - Analyzed updates from financial regulators to determine the applicability for the firm - Discussed with relevant stakeholders the execution of changes to the firm’s control environment

- Participated as a member of a team assigned to oversee the implementation of regulations including FINRA Rules 2241 and 2242, which govern the activities and communications of Research Analysts and Bankers- Analyzed regulations and developed proposals for the effective implementation of regulatory changes- Involved in a team research project and presented findings in a debate forum

During the spring semester of my junior year, I provided support to the SEC's National Exam Program for the Philadelphia Regional Office as part of the Business Honors Internship Program.
 Responsibilities:- Researching mutual fund prospectuses to evaluate cost effectiveness of share classes available to investors- Performing background checks into prospective EB5 investments - Conducting asset verification of advisory client accounts

During my internship in the Corporate Compliance Department, I worked with both the Anti-Money Laundering Unit and the Securities Compliance Unit.Responsibilities:- Performed customer due diligence using corporate sanctioned databases- Utilized specialized software related to OFAC- Managed responses related to the USA PATRIOT Act- Gained familiarity with processes related to securities compliance regulations specifically with Form ADV and Form BD