IQ-EQ

Compliance Consultant

Compliance Associate

Wolfsohn Accounting Services, Inc.

● Prepared and filed Federal and State(s) corporate (1120), partnership (1065), and individual (1040) income tax returns
● Reconciled balance sheet and GL accounts, and reviewing P&L in accordance with cash, GAAP, and tax legislative basis
● Managed business accounts and individual clients payroll taxes, sales taxes, tax planning and other needs
● Assisted with audit preparation and requests including financial audits, workers compensation audits and others

Accounting and Tax Analyst

Pace University - Lubin School of Business

● Graduate Assistant in Accounting department at Lubin School of Business 
● Researched, analyzed, and organized data in Excel which was used in the professor’s academic paper on following topics: - 
•	S&P 500, DJIA 30, and NASDAQ 100 Options Contracts Volatility	
•	ASC 326—Current Expected Credit Loss Standard (CECL)
•	Allowance for Loan and Lease Losses (ALLL) 
● Created and implemented lessons and teaching materials that engaged and encouraged academic growth among a wide variety of undergraduate students from diverse backgrounds
● Assisted professor in research and daily tasks as needed

Graduate Assistant

Constellation Advisers, LLC

● Assisted in the performance of compliance functions, such as 
      	-oversight of personal trading, 
     	-email review, 
     	-social media review, 
      	-political contributions testing,
       	-monitoring of firm trading activities, and
      	-maintaining restricted lists
● Reviewed client and account documentation for anti-money laundering compliance
● Assisted in training of clients' employees and management regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and outside business activities
● Prepared drafts of required regulatory filings, for US and international clients
● Aided in designing and monitoring testing systems to insure the efficacy of controls and surveillance programs for employees
● Evaluated firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
● Performed other ad-hoc compliance-related responsibilities and special projects as needed

Regulatory and Compliance Intern

Vardhman Trading Agency

● Responsible for comprehensive management, production and dispatch, accounts and admin work
● Developed multiple new successful products through strategic innovation and extensive research 
● Introduced a New Method for Product Delivery increasing efficiency and reducing selling and distribution expenses 
● Assisted in formulating strategies (production, marketing, distribution) and business plan

Accounts Management Executive

Angel Broking

● Interned with a group of 15 financial advisers, learning basic concepts of the equity markets
● Researched and gathered information on various company fundamentals
● Participated in prospecting and marketing activities

Summer Intern

Financial regulatory compliance professional working in the compliance and financial services industry at IQ-EQ US., a leading investor services group operating across 24 jurisdictions worldwide. Focuses on proactively managing all aspects of the compliance program specific to the investment manager’s regulatory requirements, whether pursuant to the SEC, FINRA, CFTC/NFA or State regulatory bodies. 

Passionate about looking for innovative and tech-forward ways of running a compliance program. Devoted to fostering a culture of compliance where staff operate from a place of understanding and not from fear.

•	Private Equity, Private Credit and Venture Capital
•	Established Hedge Funds and new Hedge Fund launches
•	Real Estate and Registered Funds
•	Traditional RIAs, Wealth Managers and Multi-Family Offices
•	Commodity Pool Operators and Trading Advisers
•	Broker-Dealers

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