Provides guidance to compliance team, investment team members regarding issue resolution of pre-trade and post-trade guideline alerts, escalating to the Manager where necessary. Provides support with Aladdin rule maintenance. Monitors maintenance and update of compliance records/files. Oversees the preparation and circulation of daily, weekly, monthly and ad hoc reporting.

Accurately monitored compliance alerts in CRD and analyzed client investment guidelines to determine if a breach had occurred. Interpreted client guideline restrictions then coded and tested the restrictions in CRD. Updated client restricted lists in CRD using Loomis proprietary applications. Effectively worked with portfolio managers, trading desk, my fellow compliance/legal dept colleagues, other groups/individuals and Loomis clients through clear transparent communication. Contributed to… Show more Accurately monitored compliance alerts in CRD and analyzed client investment guidelines to determine if a breach had occurred. Interpreted client guideline restrictions then coded and tested the restrictions in CRD. Updated client restricted lists in CRD using Loomis proprietary applications. Effectively worked with portfolio managers, trading desk, my fellow compliance/legal dept colleagues, other groups/individuals and Loomis clients through clear transparent communication. Contributed to team production through ad hoc projects increasing efficiency and accuracy to work production. Ad hoc projects included updating proprietary applications to more comprehensively automate client restricted lists, applications to efficiently link existing CRD guideline rules to new client guidelines and working with management to design/suggest workflow prioritization to increase production. Show less

Performed general ledger entries (using FLEXI), balance sheet and bank statement reconciliations, Federal Energy Regulatory Commission Reporting (using FERC software

Trading Compliance Analyst Sayles and Company, LP Daily trading compliance oversight for Loomis Sayles Institutional and sub-advised funds. Oversight included review of potential cross trades, dropped accounts, potential hedge fund trading conflicts, trading orders cancelled from accounting, affiliated trading, illiquid security review, IPO and new issue allocation.

Mutual fund compliance monitoring with respect to the prospectus, statement of additional information, SEC, IRS,FINRA. SEC reporting; monitoring 71a-7, 17e-1, affiliated trading. Fund diversification testing with respect to the SEC and IRS; board of trustee reporting with respect to the compliance of The Mellon Institutional Funds.

Daily compliance pre and post trade oversight for Mellon Institutional and sub-advised funds. Programmed a proprietary automated monitoring system based on the prospectus, statement of additional information, and other regulatory restrictions.Worked with marketing, portfolio managers, and company attorneys to help interpret client, prospectus, and statement of additional information guidelines, as well as resolving specific security holding issues.Tracked fixed income fund held… Show more Daily compliance pre and post trade oversight for Mellon Institutional and sub-advised funds. Programmed a proprietary automated monitoring system based on the prospectus, statement of additional information, and other regulatory restrictions.Worked with marketing, portfolio managers, and company attorneys to help interpret client, prospectus, and statement of additional information guidelines, as well as resolving specific security holding issues.Tracked fixed income fund held securities for ratings, maturity requirements. Oversight of credit default swaps, futures and forwards held in the funds. Show less

Security lending oversight. Monitored maximum lending limits and approved counter-parties.Completed regulatory filings for NSAR/NCSR from a compliance perspective.Reviewed and approved 13F/G, and Form S data for parent company aggregated filing.Completed quarterly questionnaires for sub-advised clients. Reported on 10f-3, 17a-7, 17e-1, 17J-1, illiquid, and 144a securities held. Completed SEC questionnaires related to internal and external audits… Show more Security lending oversight. Monitored maximum lending limits and approved counter-parties.Completed regulatory filings for NSAR/NCSR from a compliance perspective.Reviewed and approved 13F/G, and Form S data for parent company aggregated filing.Completed quarterly questionnaires for sub-advised clients. Reported on 10f-3, 17a-7, 17e-1, 17J-1, illiquid, and 144a securities held. Completed SEC questionnaires related to internal and external audits of SMAM as an Adviser. Researched SMAM only related securities with our credit analysts to ensure proper analysis and documentation for audit purposes.Coordinated and processed broker approval requests from the trading desk.Assisted in gathering information and answering questions for internal and external audits such as SAS-70. Played a key role in testing automated compliance software during custodian conversions. Designed policies and procedures for Mellon Institutional Funds, and its Advisers.; Efficiently reconciled portfolio management cash and asset accounts with the custodian bank reporting and resolving discrepancies. Show less

Efficiently reconciled portfolio management, cash, and asset accounts with the custodian bank reporting any discrepancies.

Efficiently completed various contracted accounting assignments.

Accurately calculated the daily NAV for a Hub and Spoke Mutual Fund.

Serviced incoming calls from shareholders and brokers for a group of Mutual Funds. Accurately set up new accounts, processed trades, and answered fund, or account specific questions.

Accurately prepared tax returns for individuals and businesses using H&R Block software

Analyzed contractual defined benefit plans in computing benefits for retirees.

Analyzed contractual defined benefit plans in computing benefits for retirees.