Thinkfolio Compliance Coding. UK based. Charles River, Blackrock, Markit consultant - Various clients and projects.

Built a Team for a new office including managing and training new personnel in systems Coded Latent Zero (Sentinel), Linedata and Proprietary systems

Lead for a complicated Derivatives project within Charles River. Worked directly with Business analysts, Programmers, Vendors, Business Department Heads on the feasibility of new software integration and design finding solutions withing the confines of current clients needs.

Bloomberg Compliance Coding. Oracle Financials.

MIFID II Project – evaluated software vendor’s solution for cross business impacts. Managed multiple software vendors to ensure compliance with new regulations. (Charles River, Blackrock, Eagle PACE, RTT, etc)Transaction Reporting, Trade Reporting and Client Reporting changes specific to new regulationsParticipated with Steering Committee, providing recommendations. Coded Charles River Compliance rules - made changes for new regulations, corrected old rule coding to ensure proper functionality.

Helped create a Compliance Monitoring Program for client using Blackrock OMS. Daily Compliance Monitoring, IMA & Guideline Management, Writing Procedures, State Insurance Rule Coding Project, Verifying & Testing Coding in Blackrock Aladdin.

Conversion project Charles River to Blackrock Aladin software. Verified Compliance Rules and Coding.

Provided expertise in the Charles River Compliance Engine.

Formed and lead a new team of Charles River Coding experts covering various desks around the world. Separating the task away from Compliance and formed a separate division that concentrated on just coding. Provided training to the new department including documentation of various best practices. Team location in Poznan, Poland.Charles River Version 9.1.5Completed Charles River Compliance Course for Version 9 at Charles River HQ in Burlington, MA

Covered for Compliance Officer's maternity leave - day to day compliance duties from coding to Alert monitoring

Worked on location in EUROPE: Rotterdam, NetherlandsProject Sentinel to Charles River ConversionCharles River Version 9.1.4 Coded Complaince Rules for Equity and Fixed Income accounts.

Worked on location in NEW YORK & NEW JERSEYPrimarily responsible for coding Charles River Compliance Master and Linedata Longview Systems. Documenting Processes and Controls for the compliance monitoring department.Worked with vendors to provide solutions to complex compliance requirements.Guideline Review, interpreting restrictions, reconciliationAlert monitoring

Charles River Coding role, coded and tested over 5000 Complaince rules for both Fixed and Equity Portfolios.

Large AMEX project. Wrote Business Requirements.

Implemented Advent Moxy OMS trading platform for small Portfolio Management firm

Primarily responsible for coordinating the successful development and integration of Enterprise Individual Business compliance tools, technologies and systems. Ensured that Compliance policies and procedures, informational releases, training materials and continuing education programs were delivered consistently throughout the Enterprise. Ensured that best practices were incorporated into updated policies and procedures, that comprehensive compliance-related tools and systems were implemented within time and budget constraints, and that new and enhanced systems and resources meet their predefined and required functionalities. Created QA standards for the introduction and enhancement of compliance systems and projects. Identified performance gaps and prioritized training needs related to the Comprehensive Online Management System (COMS), the Sales Material Review System (SMRS)/Livelink and various other compliance systems.

Front Office Product Line: Gather, define and document business requirements, perform product research and carry out implementation tasks for customized client solutions. During an implementation define customer requirements, install and configure software, support data conversion, establish operating procedures, conduct training and provide production support. Specialized in the HiCompliance software product.

Provided on site compliance consulting for client location. Installed CRD Pre and Post trade system for both Equity and Fixed Income desks. Defined & programmed compliance rules into CRD. Developed a detailed project plan for implementation of the rules. Developed operational workflows and processes in alignment with industry best practices for ongoing support of the compliance engine. Provided hands on training for CRD administration.

Responsible for assisting in the development and administration of the Compliance Program for the Fixed Income Trading Desk. Developed procedures to assure that the day-to-day sales and related service activities of supervised persons comply with all applicable laws, regulations & company rules and to detect instances of possible non-compliance. Implemented Charles River Development (CRD) Pre-Trade Compliance System, composed test scripts in a SQL environment. Worked on SAI, Prospectus, Cross Trading, Trade Allocation, Soft Dollar Tracking, Best Execution, Derivatives, Underwriting, Affiliated Broker Trading, etc. Assisted with Sarbanes-Oxley Rule 38-a-1. Sat on the trading floor and provided real time compliance guidance for the portfolio managers.

Business School Internship - Japanese firm operating in Ho Chi Minh City, Vietnam; Tokyo, Japan; Hong Kong, China; and Bangkok, Thailand.Traveled on-site and consulted on Building and Auto Glass Factory production. Including Strategy, Marketing, Government Regulations

Internship Automotive Industry BMW & Skoda On location in Munich Germany and Prague Czech Republic. Specific dealing with auto glass manufacturers and government issues. MBA Internship project

Oversaw a new investment software (CRD - Charles River Development) implementation process. Composed system user requirements, functional specifications, provided new system testing and training, completed full-life cycle of the project, researched data exceptions, alerts and warnings. Continued to monitor CRD after implementation was completed that all of the system feeds were properly populated in CRD. Compliance Analyst: Analyzed institutional and mutual funds: preparation of reports documenting that the funds are in compliance with regulations under the Investment Company Act of 1940 and 1933, Adviser's Act, IRS Sub-M and prospectus disclosure; daily accounting of trades, NAV calculations, researching SEC regulations, settlement filings, foreign regulations, corporate actions, etc.

WORKED ON LOCATION: MOSCOW, RUSSIABusiness Analyst: Moscow, Russia Composed real time market analysis reports for various Russian markets such as MICEX (currency), GKO/OFZ (T-bills/Bonds), and Russian Stock Market, published on Telerate. Directed and developed company website initiative: budget approval, web design, business requirements, managing/hiring staff, full-life cycle, data base development, etc. Earnings Analyst: Boston, MA Composed daily company reports; closely monitored stock market for any significant changes to the various companies covered; compiled reports with surveys from miscellaneous brokers covering a single company, then posting these reports in real time.