Kathleen Lynn Email & Phone Number | I am a solutions-focused Compliance Professional offering 15 years of expertise overseeing the daily compliance functions, market surveillance, and regulatory reporting. I have affluent experience in managing end to end surveillance activities, compliance, collateral management, trade process, pre & post market analysis, employee monitoring, Information Barriers/Control and risk management. I have knowledge of various financial products including, equity, options, fixed income and OTC Derivatives. I have the ability to understand and communicate regulatory environment to a variety of audiences. I am service oriented with the ability to balance regulatory and policy standards along with a business perspective. I have an extensive background in trading floor environment at leading global firms. I have been recognized for being both reactive to developments in the regulatory and governance environment and proactive in areas related to compliance education and training. Compliance Reviews ✰ Financial Products & Services✰ Risk Assessment ✰ Investment Advisers & Investment Company Acts ✰ Surveillance ✰ AML Audits ✰ FINRA Gateway Updates ✰ Equity/ Option/ Foreign Trade Order Handling ✰ Suitability Reviews ✰ Client Relations Familiar with: Smarts, My Compliance Office, Behavox, global relay, Oracle ECM, and other surveillance systems. Experience in testing, audit, control room monitoring, work well with internal controls, regulatory inquiries and understand complex asks. ☛ CONTACT INFORMATION:   ✉: kmlynn9@gmail.com ✆:631-745-3819 ✰ ✰ ✰ ✰ ✰ ✰ ✰

Kathleen Lynn

I am a solutions-focused Compliance Professional offering 15 years of expertise overseeing the daily...
New York City Metropolitan Area, New York City Metropolitan Area, United States

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Kathleen Lynn’s Email kathleen.lynn@scotiabank.com

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Kathleen Lynn’s Location New York City Metropolitan Area, New York City Metropolitan Area, United States

Kathleen Lynn’s Current Industry Scotiabank

Kathleen Lynn’s Prior Industry Mufg In The Americas | Citi | Barclays | Ubs

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Work Experience

Scotiabank

Compliance, Equities Trade Surveillance Manager, Monitoring and Surveillance

2018-07-01 00:00:00 - Present

Mufg In The Americas

Compliance Officer

2016-04-01 00:00:00 - 2018-06-01 00:00:00

Citi

Compliance Control Group IBSG

2015-05-01 00:00:00 - 2016-04-01 00:00:00

Barclays

Compliance Officer

2014-05-01 00:00:00 - 2015-05-01 00:00:00

Ubs

Compliance Examiner - Compliance Support, Trade Surveillance, Regulatory Reviews, AML Audits

2013-03-01 00:00:00 - 2013-12-01 00:00:00

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FAQ About Kathleen Lynn

Kathleen Lynn is located at
New York City Metropolitan Area, New York City Metropolitan Area, United States

Kathleen Lynn is a I am a solutions-focused Compliance Professional offering 15 years of expertise overseeing the daily compliance functions, market surveillance, and regulatory reporting. I have affluent experience in managing end to end surveillance activities, compliance, collateral management, trade process, pre & post market analysis, employee monitoring, Information Barriers/Control and risk management. I have knowledge of various financial products including, equity, options, fixed income and OTC Derivatives. I have the ability to understand and communicate regulatory environment to a variety of audiences. I am service oriented with the ability to balance regulatory and policy standards along with a business perspective. I have an extensive background in trading floor environment at leading global firms. I have been recognized for being both reactive to developments in the regulatory and governance environment and proactive in areas related to compliance education and training. Compliance Reviews ✰ Financial Products & Services✰ Risk Assessment ✰ Investment Advisers & Investment Company Acts ✰ Surveillance ✰ AML Audits ✰ FINRA Gateway Updates ✰ Equity/ Option/ Foreign Trade Order Handling ✰ Suitability Reviews ✰ Client Relations Familiar with: Smarts, My Compliance Office, Behavox, global relay, Oracle ECM, and other surveillance systems. Experience in testing, audit, control room monitoring, work well with internal controls, regulatory inquiries and understand complex asks. ☛ CONTACT INFORMATION:   ✉: kmlynn9@gmail.com ✆:631-745-3819 ✰ ✰ ✰ ✰ ✰ ✰ ✰