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Jacksonville, FL 32206
Compliance Officer - Control Room, Associate
25 years experience W2
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  • Identification of any DB involved proposed capital market transactions, security offerings and M&A deals which if made public, would likely have a significant effect on the price of any securities. Added the associated securities to the firm's Watch List of material and price sensitive transactions which are confidential and have not been made public.
  • Supervision of the firm's Information Barrier (fka the Chinese Wall). Prevented exchanges of communication of insiders and other bank employees privy to material nonpublic information with the public-side bank employees who trade or advise on the behalf of the Bank or its clients.
  • Monitored the outside business activities and the private investments of bank insiders. Identified conflicts of interest. Adjudicated employee trade requests. Made "red flag" determinations for remedial actions. (continued)
  • Served as the virtual data room (Intralinks) gatekeeper. Determined employee access to restricted online repositories populated with material nonpublic information and other confidential documents meant to facilitate security offerings and mergers and acquisitions.
  • Examined employee personal trade requests. Adjudicated requests of employees to trade, sell or buy securities that are on the firm's Watchlist with respect to the employee's insider status. Evaluated otherwise prohibited trades and then recommended exemptions based on employee hardships and other mitigating factors.
  • Monitored the outward facing work product of the Equity Research Analysts for violations of the "Global Settlement". Approved or denied publication of reports, alerts, recommendation changes, etc. with respect to DB's involvement in imminent capital market transactions, M&A deals or other offerings to prevent claims of market manipulation. Performed a Safe Harbor analysis to justify Research publication pursuant to Rules 138, 139, 144 and Regulation S of the Securities and Exchange Commission.
  • Evaluation of employee trading activity for comparison against the firm's watchlist of imminent undisclosed capital market transactions and creation of subsequent Breach Reports.
  • Responsible for drafting disclosures that acknowledge DB's role as an advisor or underwriter in material corporate transactions.
  • Monitored the Bank's proprietary trading for any securities on the firm's Watchlist. Determined if exemptions were available and appropriate.

Bachelor's in n/a
Florida State College at Jacksonville 2020
The Florida State University 2009
Psi Chi
The Florida State University 2004
Project Management