Summary
Overview
Work History
Education
Skills
Registration
Phone
References
Timeline
Generic

Catherine Bennett

Larchmont,NY

Summary

Results oriented executive with experience in all areas of Compliance, offering a unique record of success in the Securities Industry. Articulate, energetic, and results-oriented, experienced in all functions within the Compliance Department of a major brokerage firm. Experienced Office Manager and administration professional with twenty-five years of experience in overseeing wide variety of essential functions in bustling business. Analytical in optimizing productivity, efficiency and service quality across various offices within diverse environments. Highly organized with strengths in prioritizing tasks and managing deadlines.

Overview

44
44
years of professional experience

Work History

Office Manager

Weekday Nursery School
New Rochelle, New York
10.1999 - Current

Administrative Responsibilities

· Record daily attendance in the Student Attendance Binder on the desk.

· Monthly Fire Safety Inspections

· File all children’s forms

· Create accurate class rosters, enter new invoices, enter tuition payments, record check payments, record on-line payments

· Generate Profit & Loss Statements and Balance Sheets

· Keep track of tuition payments and balances. Contact parents for balances due.

· Prepare Statements for parents

· Review and maintain each student’s immunization record in Excel for the state immunization survey in March.

· Calculate totals and file on-line (KMN) with the NYS Department of Health.

· Assist in ordering of equipment as needed in all programs

· Create and maintain an employment binder for each employee and 1099 sub-contractor: resumes, education certificates, payroll information, benefits information, employee reviews, and salary agreements including documenting and maintaining I-9 Employee Information. In Accordance with Employment Eligibility Verification Department of Homeland Security U.S. Citizenship and Immigration Services.

· Document and maintain Employee Medical Information in accordance with OCFS and NYS Dept. of Education.

· Run Payroll System to print Quarterly Tax Reports, NYS 45 and Federal 941. Put copies in the Tax Binder along with year-End W-2 copies. (Print the March, June, September and December Quarterly Statements)

Other Professional Responsibilities

· Engage with parents and children in a friendly and welcoming manner.

· Is familiar with NYS OCFS licensing regulations

· Follow Weekday Nursery School’s philosophy and contribute to Center’s mission.

· Work in partnership with families

· Perform duties and conducts self in accordance with ethical standards as outlined in Employee Handbook.

· Attend staff meetings, Staff development days, and all other center events as required by the director.

· Demonstrate an interest in further professional growth. Especially in acquiring the NYS ECE trainers certification

· Demonstrate initiative by suggesting new ideas, problem solutions, etc.

· Complete all required written material in a timely, accurate and reliable manner.

· Report formally all suspicions of child abuse to Supervisor.

· Is knowledgeable concerning mandated reporting to the CPS hotline number.

Vice President - Compliance Systems Coordinator

SHEARSON LEHMAN BROTHERS INC.
NEW YORK
10.1989 - Current
  • Researched, developed and implemented updated Compliance Systems

Vice President - Senior Compliance Examiner

SHEARSON LEHMAN BROTHERS INC.
NEW YORK
03.1987 - 10.1989
  • Responsible for conducting Compliance Examinations (foreign and domestic) in sales locations
  • Examinations encompassed a review of trading practices, internal controls and operational systems and procedures
  • Examinations were designed to ensure compliance with Federal State Laws and the various rules of the NYSE, other SROs and Firm Policies regarding such areas as: BOM supervisory practices, discretionary trading, and communications with the public, suitability of client trading etc.

Assistant Vice President - Surveillance Manager

SHEARSON LEHMAN BROTHERS INC.
07.1986 - 03.1987
  • Responsible for the administration, training and supervision of surveillance analysts.

Assistant Vice President - Senior Commodities Examiner

SHEARSON LEHMAN BROTHERS INC.
- 07.1986
  • Responsible for conducting branch examinations of firms’ commodity funds and futures trading desks
  • Responsible for reviewing Commodity Trading Advisors/Commodity Pool Operators books and records to ensure compliance with CFTC rules and regulations.

Commodity Margin Clerk - Futures Division

SHEARSON LEHMAN BROTHERS INC.
11.1979 - 03.1981
  • Responsible for the daily review of client/employee trading in commodities from a credit perspective
  • Responsible for calculation of margin requirements and special hedge requirements for client's accounts.

Supervisor - Commodity Surveillance

SHEARSON LEHMAN BROTHERS INC.
03.1981
  • Responsible for the development of surveillance reports to monitor client and employee trading in commodities.

Education

A.A.S. Business/Computer Science -

College of Staten Island
01.1975

Skills

  • Word
  • Excel
  • Publisher
  • Procare
  • PaySimple
  • QuickBooks
  • Google Doc

Registration

Series 3 - National Commodity Futures Exam

Phone

(914) 834-5865, (212) 464-7565

References

Available Upon Request

Timeline

Office Manager

Weekday Nursery School
10.1999 - Current

Vice President - Compliance Systems Coordinator

SHEARSON LEHMAN BROTHERS INC.
10.1989 - Current

Vice President - Senior Compliance Examiner

SHEARSON LEHMAN BROTHERS INC.
03.1987 - 10.1989

Assistant Vice President - Surveillance Manager

SHEARSON LEHMAN BROTHERS INC.
07.1986 - 03.1987

Supervisor - Commodity Surveillance

SHEARSON LEHMAN BROTHERS INC.
03.1981

Commodity Margin Clerk - Futures Division

SHEARSON LEHMAN BROTHERS INC.
11.1979 - 03.1981

Assistant Vice President - Senior Commodities Examiner

SHEARSON LEHMAN BROTHERS INC.
- 07.1986

A.A.S. Business/Computer Science -

College of Staten Island
Catherine Bennett