❖Managed a team of Compliance Analysts providing risk management and data analysis of Prudential’s Personal Securities Trading Standards, ensuring the security and integrity of highly sensitive information for all employees.❖Formulated reports and metrics for senior leadership around employee personal securities trading activity along with KPI trends to streamline compliance programs both domestically and internationally.❖Managed Control Room operating processes, wall-crossings, maintenance of Restricted lists, ongoing and pre-deal transactional clearance and MNPI access to resolve any real or perceived conflicts of interest.❖Coordinated the Annual Personal Securities Trading Policy Attestation on all domestic and international employees, ensuring all monitored employees are properly classified and collaborating with business unit Compliance Officers.❖Administered Prudential’s Personal Securities Trading Standards in conjunction with SEC, FINRA and OFAC Regulatory requirements.❖Conducted training to monitored employees and compliance officers on the functionality and requirements of the Personal Securities Trade system, FIS Protegent PTA.❖Reconciled the assignment of division classification for all business corporate entities ensuring the accurate monitoring classification is applied to all employees.❖Advised Business Units on compliance requirements related to the Securities Exchange Act and the Investment Advisors Act of 1940.❖Coordinated software beta-testing in preparation for critical large-scale updates and initial application deployments of all new builds to the FIS Protegent PTA application.❖Coordinated monthly Compliance Business Unit meeting to discuss policies and procedure requirements and updates, as well as review best practices to determine the appropriate treatment of various compliance/regulatory topics.❖Compiled standard operating procedures (SOP) for implementation of regulatory requirements, rules and standards.

 Reviewed governing documents and financials pertaining to newly-closed corporate trust deals to establish requisite accounts on various internal and industry-standard banking systems. Performed OFAC screening of entities and individuals required by KYC matrix. Document and report all potential findings to AML officer. Verified all required regulatory and tax filings (W-2, W-8BEN, 10K, 10Q) were completed prior to establishing trust accounts and deal closings. Coordinated closing-day cash and asset movements via wire transfers and DTC. Transferred closing proceeds into various investment vehicles per governing deal documents or written instruction from bond counsel. Managed reviews of all new accounts within required deadlines to ensure all SLAs were met. Tracked and coordinated payment of periodic issuer debt service obligations. Generated financial statements for auditing purposes and in adherence with with state and federal compliance regulations. Oversaw periodic auctions to set variable LIBOR based interest rates for numerous municipal bond issues.

 Managed nine auditors responsible for recordkeeping, reporting, account administration, reconciliation of capital activity and shareholder allocations.  Coordinated Partnership Capital inflows and outflows with Fund and Relationship managers in excess of $150 million monthly. Prepared monthly financial statements in conjunction with Accounting Department. Processed and managed all subscription trades and applications, Fed wire transactions, investor reporting, compliance and AML requirements. Maintained Hedge Fund and Private Equity Investor records in compliance with corporate policy and procedure, in accordance with state and federal regulations.  Analyzed productivity issues and system enhancements resulting in 50% increase in turnaround. Provided report analysis to IT as Subject Matter Expert (SME) during system testing. Prepared monthly Investor statements and year-end tax documents, including K-1, 1099, 5498 and tax estimates.

• Coordinated a team of six specialists supporting the Global Corporate Actions department with account reconciliation, maintenance of investors’ positions, balancing of departmental suspense and escheatment accounts, and resolution of system differences.• Reconciled DDA and General Ledger accounts.• Balanced and proofed the department’s daily cash activities. • Organized and prepared weekly, monthly and yearly status and exposure reports on cash balances and work volume.• Coordinated audit examinations with internal and external auditors.• Handled Institutional client inquiries regarding Mutual Fund accounts, including confirmation of trades, balances, fund rates and dividends.• Administered system access between the business unit and Information Security