Responded to securities regulators, US Securities and Exchange Commission (SEC), US Commodities and Futures Trading Regulators, FINRA, and Self-Regulatory Organizations (SRO) in matters concerning Morgan Stanley’s global institutional and wealth management divisions.Developed policies and procedures with the relevant compliance coverage teams, legal counsel, risk, and the regulatory exam team.Enhanced processes related to regulatory guidance.Identified potential suspicious activity; Escalated potential special investigations in Global Financial Crimes and Anti-Money Laundering/Bank Secrecy Act (AML/BSA) mattersDeveloped controls around insider trading, surveillance, and the escalation process, successfully mitigating risks.Collaborated on strategic initiatives including Agile process implementation and the preparation and review of global reports for senior management.

Compliance Consultant at Morgan Stanley and Co. LLCCoordinated with the relevant business units to research, analyze and respond to regulatory inquiries and exams from the US Securities and Exchange Commission, US Commodities and Futures Trading Commission, FINRA, and Self-Regulatory Organizations

SEC-registered investment adviserInvestment Advisers Act of 1940 Vendor / broker due diligencePreparation of required SEC filings and updates to Form ADVManaged Sub advisory compliance due diligence auditsQuarterly reportingDesigned Annual Review with the Chief Compliance Officer and formulated testing program based on the Advisers Act Rule 206(4)-7, Risk Assessment, conflicts of interest and regulatory riskNew client contracts and investment mandate review; ensured specific guidelines were accurately recorded and set up in the portfolio management system. Compliance marketing material review of quarterly client reports, brochures, RFPs based on SEC guidance and suggestions on best practicesDesigned appropriate disclosures and composite qualifying for GIPS compliance based on CFA standards for reporting performance.Monitored compliance rules and regulations for registered investment advisors through the SEC website, industry conferences and trade journals, staying current and resulting in the design of a viable compliance calendarIncorporated Proxy Voting / Corporate Governance into compliance, facilitating record retention and reporting needs Designed the proxy policy and guidelinesExcellent written and oral communication and thinking skillsSuperior attention to detail and extremely organizedDemonstrated enthusiasm and desire to work as a team playerMicrosoft PowerPoint, Outlook, Excel and Word; AXYS Advent Portfolio Software; Charles River; Bloomberg; CRM SalesLogixSuccessfully registering the firm with Ontario Securities Commission obtaining proficiency exemptions for portfolio manager and CCO without incurring outside counsel costCompliance training for new employees