Applicant 118587

• Conduct thorough investigations for traders to prevent unauthorized activities such as high-frequency trading (HFT), grid trading, and account management, ensuring compliance with company policies. Verify trader identities using Sum Sub and other relevant tools, contributing to a secure and trustworthy trading environment. • Played a key role in building and strengthening compliance efforts, resulting in improved adherence to regulatory standards and internal guidelines. • Conducted thorough data analysis to identify trends, patterns, and areas for improvement, resulting in more informed decisionmaking. • Assisted in developing and managing project plans, and timelines for the Compliance department to ensure the successful execution of operational efficiency. • Monitored King's program performance and provided regular reports to stakeholders.

• Developed/Updated project status decks to include business issues, resolution and metrics every week. • Led weekly walkthroughs and status meetings for a multinational investment bank and financial services holding company, acting as a contractor for their Internal Audit team. • Collaborated with cross-functional teams to define project scope, objectives, and deliverables, along with preparing and presenting reports to senior management providing insights into project statuses. • Consulted with 10+ partners to help monitor project progress, identify potential risks, and help implement mitigation strategies to ensure project milestones were met. • Consulted with 20+ clients to validate all of the new procedures/controls/implementations put in place and ensured sustainability. • Helped Management with firm contributions along with firm festivities and attended various SOX trainings including Deloitte University.

Managed sales reporting system and efficiently answered the clients' needs; accomplished a 98% success rate for satisfying clients' needs