Wendy Mccann Email and Phone Number

Compliance oversight with regard to State Licensing, Surplus Lines tax filings & Binding requirements. Provide daily operational services. Responsible for monthly billing process, timely payments and reconciliation of APRI’s books and records. Liaison for APRI as it pertains to routine audits and external regulatory exams.

Compliance Officer for Distribution (Sales) across all asset classes in the Americas.Provide daily advisory service due to trading floor presence.Draft policies and procedures and advise on business manuals and written supervisory procedures for Distribution. Liaison for Distribution as it pertains to routine monitoring and testing, audit and external regulatory exams. Project manage all compliance components of Distribution initiatives.

Coverage officer for all FID Product clusters to include Credit, Rates, Mortgage and Origination, Sales and Operations. Provide daily regulatory advisory service due to trading floor presence; prepare policy and procedures and conduct annual training; assist in responding to broker dealer examination requests and regulatory inquiries; implement and conduct daily surveillance reports and reviews of sales and trading activity.

Coverage officer for Credit, Rates, Mortgage and Origination product clusters.Provided daily regulatory advisory service due to trading floor presence; prepared policy and procedures and conducted annual training; assisted in responding to broker dealer examination requests and regulatory inquiries; Monitored day to day valuation issues and conducted daily surveillance of sales and trading activity.

Coverage officer for Interest Rates and Investment Grade product clusters. Provided daily regulatory advisory service due to trading floor presence; maintained all GSE Seller/Dealer Agreements to ensure CSFB personnel complied with defined business and compliance reguirements; monitored weekly Treasury Auctions and assisted in the automation of the NLP and LPR reporting process; conducted daily surveillance, assisted with the implementation of controls necessary for TRACE compliance; and conducted routine compliance examinations of various fixed income business units to include monthly supervisory reviews.

Reviewed, analyzed and responded to third-party,investigative and information subpoenas; prepared comprehensive case descriptions and procedural status for reporting purposes; reviewed monitored and responded to class actions, syndicate litigations and bankruptcies affecting the Firm's proprietary investments, securities positions and accounts receivables.