Experienced Compliance Officer/Attorney seeking a leadership role focusing on Ethics, Code of Conduct, Conflicts, Surveillance, Investment Banking or Control Room.

Manage a global team responsible for maintaining Information Barriers, Watch and Restricted Lists across all business lines. Senior member of enterprise-wide compliance team managing Conflicts of Interest, Personal Trading, Employee Ethics and business line compliance advisory issues. Lead department internal audits and regulatory examinations. Assist with compliance risk assessments, training and investigations. Provide compliance advisory to Wealth Managment, Asset Management, Corporate Trust and Markets business lines. Work with Internal Audit and Regulators on exams and investigations. Maintain Supervisory Manuals and draft Policies and Procedures.

Manage Information Barrier Compliance and SurveillanceMaintain Global Watch and Restricted ListsProvide compliance advisory services to Equity and Credit Research Provide compliance advisory services to Corporate Finance, M&A, Debt Capital Markets, Equity Capital Markets and Loan Syndicate business groups

Serve as Global Control Room Manager; Responsible for enhancing Control Room functions and responsibilities to comply with global regulatory rules and industry best practices; Manage team responsible for Information Barrier and Insider Trading Compliance and Surveillance; Maintain Watch and Restricted Lists; Draft Policies and Procedures; Conduct Training; Assist with providing compliance advice to public and private side business groups within Wealth and Asset Management, Asset Servicing, Capital Markets and Trade Clearing business units at BNY Mellon; Senior Member assisting with issues/projects involving the Code of Ethics, Personal Securities Trading Program, Business Conflicts Program, Compliance Training and Monitoring, Corporate Policies and Outside Business Activities.

Investment Banking and Research Compliance, Maintain Watch and Restricted Lists, Manage a Team responsible for Information Barrier and Insider Trading Compliance and Surveillance, Employee Trading Compliance and Surveillance, Draft Policies and Procedures, Conduct Training on New and Existing Rules and Regulations, Work directly with Auditors and Regulators.

Served as Manager of the Control Room supervising a team responsible for maintaining Confidential Watch and Restricted Lists and provide 24/7 legal and compliance support to all business units throughout the firm regarding Rule 2711, Reg M, Rule 10b-5 and all other applicable SRO rules.Assisted with Employee Trading reporting and pre-clearance issues.Work directly with the Chief Compliance Officer on special projects and assisted with Drafting, and editing all core corporate compliance policies and procedures applicable to US and foreign operations. Assisted with projects to draft and implement annual corporate compliance risk assessments and compliance plans. Provide advice and guidance to business offices and senior management in London, Switzerland and Hong Kong on relevant compliance policies and procedures. Assisted with project to integrate merger with hedge fund operations due to merger with Ramius, LLC.Review and report on relevant compliance issues to senior business and compliance management.Assisted with electronic communications surveillance, customer and proprietary trading surveillance, chaperoning communications between Investment Banking and Research personnel, drafting policies and procedures, conducting compliance training, reviewing research and advertisement products.Responsible for Conflicts Management to screen potential engagements and firm activities for suspicious, conflicting and unusual circumstances.Assisted with compliance policy development and support for Cowen Alternate Investments, Royalty Partners, Capital Partners and Asset Management businesses.

Served as the Dedicated Attorney and Compliance Officer for the Equity and High Yield Research Departments. Primary responsibilities included reviewing policies and procedures, providing advice to business managers regarding conflicts of interest and Chinese Wall issues, supporting the Global Control Room on Capital Markets, Investment Banking and Research issues, and conducted training sessions for all business units.

Served as a senior member of the Control Room enforcing the Chinese Walls between Research and Investment Banking. Served as a member of the Dedicated Compliance Staff for Equity Research responsible for implementing the requirements of the Global Research Settlement and all applicable SRO rules.Investigated and respond to SEC, NYSE and NASD inquiries and subpoenas.Supported Personal Trading Surveillance Group with daily review of employee accounts, authorizations for trading activity and review of outside business activities.Served as Antitrust Compliance Officer monitoring trading activity on the OTC and NASDAQ Listed trading desks.

Law Clerk