Mellon FinancialSr Compliance Officer
Jan. 2003 - Oct. 2004Boston, MAResponsible 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.