Naftale Hird
Compliance Officer
Brooklyn,NY
Summary
An experienced Compliance Officer dedicated to improving policies and procedures while developing relationships with business partners and other key stakeholders. A successful values based driven leader with a proven track record of identifying vulnerabilities, creating corrective action and maintaining a culture of empowerment, ownership, and accountability.
Overview
2
2
Certifications
1
1
year of post-secondary education
19
19
years of professional experience
Work History
Investments Compliance Manager
QBE North America, Investments Compliance North America
New York , NY
2019.01 - 2019.12
- Participated in the onboard setup of new accounts. Conducted detailed testing of rules in the order management system and validated accuracy and effectiveness in accordance with new account investment guideline restrictions.
- Reviewed and validated pre-trade overrides, compliance alerts, post-trade warnings and potential breaches via Bloomberg’s compliance order management system for the investment portfolios.
- Reviewed and approved all sanctions and PEP escalations before conducting new business of investment transactions; liaised with legal for any additional information requested.
- Assisted business units in maintaining compliant with self- regulatory organization requirements and all applicable state and federal laws.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Responsible for all regulatory filings and new or amended regulatory rulemaking impacting business operations.
- Implemented strategies geared to increase employee engagement, communication and a culture around compliance programs and worked with business units to ensure consistency.
Senior Compliance Officer
Guardian Life Insurance Company Of America
New York , NY
2011.06 - 2019.01
- Redesigned, implemented and administered the Code of Ethics program successfully and supported the CCO in addressing compliance matters relative to policy and procedures, monitored processes and controls.
- Gathered, organized and evaluated data to make accurate assessments of current operations.
- Provided ongoing compliance advisory support to various business units to mitigate potential violations of the Investment Advisers Act of 1940 and other applicable external/internal rules and regulations.
- Served as systems expert for Star Compliance software providing data analysis, mitigation, and monitoring of employees’ trading activity, gift and entertainment declarations, outside business activities, and quarterly/annual attestations.
- Liaised with internal/external audit in gathering required information timely as requested.
- Oversaw new hire training and annual firm compliance training including content update and implementation of training to the firm.
- Lead officer in preparing timely on-site examinations and entity regulatory filings, including Form ADV, 13F and 13H to ensure the firm met all requirements.
- Conducted testing of proper controls and in-house reviews of written policies and procedures in accordance with Rule 206(4)-7 of the Adviser Act.
- Maintained the firm’s restricted list and trade error log with supporting documentation and provided compliance oversight of trading procedures and best practices for the firm’s sub-advised mutual funds.
- Maintained the compliance calendar and updated changes in the delegated authority of supervised personnel.
- Performed investment guideline monitoring and resolved pre and post execution compliance issues with timely responses to alerts/warnings via Bloomberg’s order management system.
- Decreased training time by creating a comprehensive interactive compliance training module that’s web accessible for all mandated employees. Coordinated roundtable workshops as needed to increase employee engagement, simulate potential risk failure(s) and educate on regulatory changes applicable to business operations.
- Actively participated in conferences and other opportunities to keep abreast of everchanging regulatory requirements that may impact business operations.
Operations and Trade Support
Pershing/Bank Of New York Mellon
Jersey City , NJ
2007.01 - 2009.09
- Provided status of open orders, timely follow-ups to introducing broker dealers through front-end order entry systems and liaised with internal business units and market makers/or for confirmation relative to executed orders.
- Researched and corrected order flow discrepancies with smart routers, exchanges and market makers.
- Traded, executed, and matched all equities, options, and fixed income products for external firms on behalf of their customers.
- Resolved escalated issues from trade disputes, customer inquiries, and miscellaneous regarding operation procedures.
- Conducted trader surveillance, managed and monitored all client related due diligence in order to adhere to compliance standards as set out by various regulatory bodies.
- Private.
Private Client Services
TDAmeritrade
Jersey City , NJ
1999.06 - 2006.10
- Managed high net worth client accounts and successfully led team of equity traders through the process of building strong relationships with clientele.
- Established performance and service goals and held associates accountable for individual performance.
- Handled complaints, provided appropriate solutions and alternatives within appropriate timeframes, and followed up to achieve resolution.
- Conducted in-depth reviews of client’s financial status and created investment strategies and risk tolerance assessments for clients to determine suitability.
- Effectively built client relation skills through continuous training in financial products, trading and customer service (including soft selling) skills development.
Education
Master of Studies in Law - Corporate Compliance
Fordham University School Of Law
New York, NY 2020.08 - Current
Certified Compliance Regulatory Professional -
Pace University
New York, NY 2019.07 - 2020.02
Bachelor of Science - Legal Studies
New York City College Of Technology
Skills
Risk Managementundefined
Affiliations
Association of International Bank Audit and Compliance Professionals (AIBACP) | Member
2
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Certification
Series 7- General Securities Representative
Quote
There is a powerful driving force inside every human being that, once unleashed, can make any vision, dream, or desire a reality.
Tony Robbins
Timeline
Master of Studies in Law - Corporate Compliance
Fordham University School Of Law
2020.08 - Current
Certified Compliance Regulatory Professional -
Pace University
2019.07 - 2020.02
Investments Compliance Manager
QBE North America, Investments Compliance North America
2019.01 - 2019.12
Senior Compliance Officer
Guardian Life Insurance Company Of America
2011.06 - 2019.01
Operations and Trade Support
Pershing/Bank Of New York Mellon
2007.01 - 2009.09
Series 7- General Securities Representative
2000-05
Series 63- Uniform Securities Agent State Law
2000-05
Private Client Services
TDAmeritrade
1999.06 - 2006.10
Bachelor of Science - Legal Studies
New York City College Of Technology
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