Salvatore Traina Email & Phone Number

New York, New York, United States

- Oversees the electronic communications surveillance program for Betterment’s Broker Dealer and Investment Advisor - Updates and provides guidance regarding the company’s code of ethics- Review and propose ways to eliminate or mitigate conflicts of interest- Reviews outside business activities, gifts, and entertainment, personal trading accounts, and private placement requests- Performs employee transaction monitoring for personal trading violations- Assists the compliance department with regulator requests and annual audits- Logs disciplinary actions for employee compliance violations and proposes remedial actions- Analyzes and reports key risk indicator metrics to Betterment’s chief compliance officer- Creates and presents risk reports to internal committees- Develops and issues company-wide training programs on topics including employee onboarding, access person designation, broker-dealer activities, electronic communications, and code of ethics provisions- Creates, issues, and reviews company-wide compliance attestations- Reviews related SEC and FINRA notices to determine their regulatory impact on Betterment’s business- Writes and proposes updates to Betterment’s compliance manual, supervisory procedures, and employee handbook- Collaborates with Betterment’s human resources team for employee onboarding and offboarding- Registers employees to Betterment’s Broker Dealer and Investment Advisor, and amends Forms U4 and Forms U5

New York, Ny

- Led examinations into potential misconduct of registered individuals in the securities industry- Wrote investigative reports detailing whether violations of federal securities laws or FINRA rules have occurred- Reviewed the policies and procedures of FINRA affiliated firms to determine if there are supervisory deficiencies- Analyzed and evaluated firm records (financial statements, purchase and sales blotters, emails, etc.) and systems (order management systems, supervisory alert systems, etc.)- Conducted interviews with customers, registered representatives and FINRA-affiliated firms to support investigative reports- Collaborated with other FINRA departments and state and federal regulators on regulatory matters- Tracked emerging trends within the financial industry- Served as a mentor to junior staff- Participated in company-wide special projects

Long Branch, Nj

- Migrated the company’s fleet and equipment inventory from an Access database to a fleet management software system- Created the equipment database layout as specified by the inventory managers- Analyzed and organized company documents concerning licenses, registrations, and purchase order for the chief financial officer and other senior managers- Worked across departments to support company-wide goals

Baltimore, Md

- Issued a sell-side report for Marriott International, Inc. based on independent research and valuation - Researched 10Ks, 10Qs, investor relations’ press releases, and industry trends to create a valuation model for forecasting the future stock price for Marriott International, Inc.

Baltimore, Md

- Created queries for Oracle database searches using large sets of hypothetical financial information to assess trading data- Utilized SQL to manage an Access database and create comprehensive query statements

Baltimore, Md

- Conducted equity research, portfolio management and risk assessment for the Sellinger Applied Portfolio (AUM $500,000)- Researched equities and the underlying companies for portfolio recommendations using Bloomberg, Thomson Reuters, and Morningstar to examine financial ratios and forecast future valuations

Baltimore, Md

- Created and taught lesson plans on financial concepts and applications in a high school classroom

New York, Ny

- Organized financial, company, and client information into comprehensive reports for internal auditors- Created and updated monthly event schedules for senior management- Analyzed profit and loss statements using Oracle - Reconciled accounts to compare event budgeting against actual event costs and reported discrepancies for amendments- Managed Cirque Du Soleil Zarkana payroll and expenses to track, reconcile, and submit weekly reports to senior management- Developed Excel templates for the finance department to submit payroll information to the general ledger - Processed client money transfers for deposit and allocation to corresponding accounts