Shaun Narine Email & Phone Number

Compliance monitoringDevelopment and implementation of the Compliance Monitoring Program, specifically Federal healthcare laws, FDA guidelines, and all applicable laws, rules, and regulationsCreate new monitoring tools, enhance data analysis capabilities, and improve group/function efficiencies.

• Risk Analytics, Regulatory Compliance, Policy & Procedures
• Translate data, metrics and KPIs, of employee conduct risks and HR events, into leadership committees presentations, impactful transparency reporting and improvements in risk mitigation
• Perform oversight review of first line of defense (1LOD) controls for conflicts of interest (COI) and consistency of response actions. Results in robust and uniform COI controls evidenced internally and in regulatory.
• Responsible for active monitoring and reporting relevant to FINRA Rule 4530 pertaining to institutional client complaints of alleged theft, misappropriation of securities or securities forgery.
• Ensure bank compliance of legislative agreement with the Australian Securities and Investment Commission (ASIC) through regularly meeting with members of legal, compliance, regulatory affairs and leadership. Results in.
• Produce procedure updates for FINRA and ASIC reporting. Reviewed and approved by key stakeholders and the Chief Compliance Officer. Procedural changes have been adopted and implemented.

East Hanover, New Jersey, United States

• Assessed risk areas and monitored gaps in conjunction with policy and governmental oversight. Achieved through targeted data models and cross-functional collaborations with subject matter experts.
• Designed risk analysis tests and thresholds to examine cost, frequency, pattern of behavior and outlier activity that were previously unexplored. Resulted in expansion of scope multiple key risk areas and the addition.
• Produced reporting for management and leadership teams to highlight existing and potential risks which led to policy changes and company-wide communications.
• Applied risk ranking in examining customer facing interactions with health care providers to shift focus towards spending on meals and frequency of interaction. This resulted in leaderships aligning with the proposed.
• Established analytics tests and thresholds to diminish risk gaps created by vague policy/guidelines. The new analysis assessed outliers in sales personnel behavioral pattern to determine reasonableness and whether a.

Greater New York City Area

• Led teams in multiple data analytics and paper discovery projects for clients in the banking, pharmaceutical, manufacturing, media, financial services and other industries.
• Created budgets and proposals used in winning new clients and in expanding the scope-of-work for existing clients. This includes winning a 100k project for a client outside of the firm’s traditional client-base and.
• Traveled to Tokyo, Japan on a long-term basis and coordinated efforts for legal-discovery of over 5000 client documents and, ultimately, the production of said documents for litigation proceedings.
• Developed analytics processes based on client requirements for SEC compliance, medical inquiry reporting, conflict mineral reporting, aggregate spend reporting, litigation and various other reporting requirements.

• Produced daily Net Asset Values (NAV) of multiple funds and submission to New York Stock Exchange (NYSE) at close of trading day.
• Reconciliation of mutual fund accounting records to client’s records and maintaining the official reporting records of the client.
• Produced scheduled and ad hoc work products used in daily, quarterly and annual reporting.
• Real-time processing of trades, expenses, corporate actions and other transactions impacting mutual funds and ETFs.