Compliance Manager
Current1. Perform compliance testing for our clients by computing, reporting and verifying results to meet the guidelines defined by federal agencies including SEC and IRS.2. Complete daily segregation for AARP client by calculating and reporting position values to meet segregation guidelines.3. Perform manual scraping on issuer basket securities to test and verify results from our data team in order to meet the Investment Act prospectus.4. Analyze segregation report by verifying interest rate swaps and market values.5. Currently working with Bank of America, Neurberger Berman, Wells Fargo, Frank Russell, AARP, Citi-Legg, IVA, Avenue Capital and Calamos as our clients.