SYSTEMS DEVELOPMENT-Built VBA tools to visualize data, streamline analysis & perform automated functions (e.g. sampling).-With domain leads, performed a systemic review of analysis patterns, created data visualizations to aid management in decision-making and provided recommendations for improvement.-Identified needs for special data sweeps and performed preliminary analysis to determine their scope and parameters.RESEARCH AND ANALYSIS-Analyzed information from the municipal bond market, with a docket of 20-60 cases.-Assisted the TRACE fixed income reporting team with reviews of corporate & agency bond cases.-Researched compliance issues detected by surveillances or identified by MSRB, other FINRA departments, or member Firms' self-identification.-Identified cases with abnormal trading patterns & worked across departments to determine the scope/severity of the identified issues.-Outlined and administered multiple On-the-Record interviews.SELECTED ACCOMPLISHMENTS-Member of the Innovation Committee (2016-2017 and 2017-2018).-Provided first-level supervisory review of outgoing inquiry letters and final memos and helped train new hires while team's supervisor was on maternity leave.-Promoted to Senior Analyst in May 2018.AWARDS-Premier Achievement Award - Bronze Level - May 2017-Premier Achievement Award - Silver Level - March 2018

SYSTEMS DEVELOPMENT-Designed and tested surveillances in Excel and SQL to detect potentially manipulative market activity.-Monitored market activity on a consistent basis to ensure compliance with regulatory guidelines.-Administered, set parameters and reviewed data for Nasdaq SMARTS and in-house surveillances.-Communicated with traders to resolve findings and exceptions.-Generated reports summarizing monthly surveillance and AML statistics.-Presented monthly supervisory reviews to Chief Compliance Officer and AML Compliance Officer.RESEARCH AND ANALYSIS-Analyzed information from firm's 200 million+ equity shares in daily trading activity.-Researched compliance issues detected by surveillances or identified by SEC inquiries.-Developed action plans in collaboration with firm's developers to create or enhance surveillance systems.-Performed AML/KYC onboarding for 100+ new domestic and foreign clients and counterparties.-Drafted Written Supervisory Procedures, incorporating applicable securities regulations and surveillance requirementsSELECTED ACCOMPLISHMENTS-Designed annual AML presentation for firm's client-facing business.-Worked with outside counsel to perform annual AML audit and implemented recommended changes.

-Worked on a team of 6-8 to manage administrative functions, including answering phones, ordering office supplies, liaising with vendors and building support staff.-Administered firm's library, including acquiring new materials, organization, and check-in/check-out.-Trained 6 new hires as business expanded.SELECTED ACCOMPLISHMENTS-Negotiated a bulk discount from a vendor and created spreadsheets to track spend and maximize discounts.-Conceptualized, designed, and implemented an Office Admin page and eBulletin board on firm's internal Wiki site-Promoted to Compliance Analyst in Spring 2015.

-Created databases to keep track of current and archived files in Excel. -Designed a reference code system for easy file retrieval and labeled all files.-Organized filing and archival system in new storage space.

-Taught 2 undergraduate writing courses.-Created course syllabi, midterm exams, final exams, and homework assignments.

-Taught 1 undergraduate writing course.-Created course syllabus, midterm exam, final exam, and homework assignments.-Held regular office hours and managed documents on school's Blackboard web portal.