As Assistant Vice President, Operations Division, for Lehman Brothers Miami for over 16 years, I held a variety of positions, most recently, Surveillance (pre-audit) and Training. In this position, I was responsible for reviewing branch procedures prior to audits to ensure they were following policies and procedures and where necessary, recommended changes. I worked with internal audit, Compliance, and input from the Branch Operations Managers, to create and post on the Intranet, the policy and procedure manuals for operational use across the firm, many of which included AML and KYC. I was responsible for ensuring that these manuals were up to date and in the best interest of the firm. I acted as branch liaison for the Operations Managers and/or Branch Managers for any suggestions to change or update these policies and procedures.

Highlights:

• Compliance
• Trainer
• Operations Manager