Marianna E.

Paolo
444 East 82nd Street, 25th Floor
New York, NY 10028
(212) 472-1772 * (631) 835-5285
mp68ecfc@westpost.net
SUMMARY
I am a diplomatic and analytical Chief Compliance Officer professional. Over fo
urteen years of experience with Broker-Dealers and Investment Management Firms.
I have a broad range of product knowledge and a proven record of accomplishment
s in providing compliance solutions for:
* Broker-Dealers and IA * AML & Red Flag * WSP's * BCP
* Form BD and ADV * SARSs * KYC ** Soft Dollars
* MSRB's Underwriting
Fees
* Underwriting Spread * Securitized Products
* Rates, Notes & Paper
* Fixed & Repro Business **Municipal
* New Issues
* Haircuts: Long & Short Positions * 1014, 1016 & 1017 Applications
* FINRA, SEC, Fed & MSRB
rules and regulations * *MSRB Rule G-37 * Regulatory
Element * Needs Analysis
* FINRA & SEC Examinations * FINRA Rule 3012 & 3130 * Firm Element * Compliance
Auditing
* FSA
* Cross-Border Business
* SEC Rule 15a-6 * Approving Advertising & Marketing Materials * Continuing Edu
cation * Annual Compliance Meeting
* TRACE * OATS * ACT * Reclamation
* Internal reviews/investigations & Trade Surveillance * Customer Complaints & A
rbitrations * CRD/ U4 / U5 / Form B/D & BR * Monitor Syndicate Activities
Experience
PAUL EHRENSTEIN & ASSOCIATES, INC., New York, NY 1998-Present
Chief Compliance Officer for over 30 Broker-Dealer, Investment Advises and Hedge
Fund Clients. Responsible for:
BROKER-DEALERS
* Supervise the registration of a new broker-dealer with the SEC and SROs.
* Supervise the trading activities, including the setup of new trading relations
hips and risk management.
* Instituted a monthly conference call with UK affiliates to assimilate FSA and
FINRA Regulations.
* Supervise Bank of China's U.S. Broker-dealer with Cross-Border business and SE
C Rule 15a-5
* Liaise with regulators, exchanges, and trading counterparties.
* Writing WSP's, BCP, and AML Procedures for all clients.
* Provide anti-money laundering (AML) related advice.
* Performing, as General Securities Principal, daily supervisory reviews of corr
espondences, email, and trading logs; Monitor employee transactions.
* Support and ensure compliance with regulatory trading systems and regulatory m
andates (OATS, TRACE, ACT,).
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Marianna Paolo
H (212) 472-1772
C (631) 835-5285
* Maintain information and logs on firms Regulatory Elements of a Continuing Edu
cation program; and CRD information for the firm and registered representatives.
* Support and maintain WSP's for regulatory changes.
* Support all necessary regulatory and management reporting.
* Conduct Annual Compliance Meetings for all clients.
* Perform roll out of all policy and procedures.
* Respond to regulatory requests from the SEC, NYSE, FINRA, and other securities
regulatory agencies for all clients.
* Work directly with FINRA Core Examiners and Cycle Examiners on behalf of all c
lients.
HEDGE FUNDS AND INVESTMENT ADVISERS
* Strong knowledge of the hedge fund/alternative asset management industry and i
ts practices.
* A strong understanding of the Investment Advisers act of 1940.
* Prepare process and submit Form ADV.
* Responsible for a full-spectrum of compliance activities, including: policies
and procedures; AML, compliance training, trade surveillance, internal reviews/i
nvestigations, and regulatory inquiries/response.
* Strong experience with: SEC, NFA, and CFTC rules and regulations; AML, creatio
n and implementation of policies and procedures.
GLEACHER NATWEST CORPORATE & INVESTMENT BANKING, New York, NY 1996-1998
Director of Administration & Operations
* Authored the Gleacher's & Co. Business Continuity Plan. Approved by SEC & FRB
on first submission.
* Client relationship, acted as the liaison between the Bankers and Clients in t
erms of keeping the Client informed of the stagers of the transaction.
* Introduced standard salary structure systems and wrote Human Resources manual.
* Project Managed Y2K project. Worked closely with FINRA, SEC, and FRB represen
tatives to ensure compliance regulations were implemented. Favorable rating was
received from the SEC and FRB on first submission of plan. Y2K Project was com
pleted three months early and $50,000 under budget.
MORGAN STANLEY AND COMPANY, INC. New York, NY 1987-1996
Business Manager IT Global Asset Management (1995-1996)
Senior Relocation Project Manager (1994-1995)
Senior Manager Creative Services IBD (1991-1994)
Operations Manager M&A (1987-1991)
* Eliminated redundant staffing in IT Global Asset Management resulting in $600,
000 cost saving in the first three months.
* Project managed the relocation of 1000 IBD and IED employees, to Morgan Stanle
y's New World Headquarters. Planned and designed 250,000 square feet with archi
tects and engineers.
* Authored the Business Continuity Plan for both IBD and IED Derivatives.
* Designed training programs, which resulted in increased ratings from Bankers.
Improved efficiency, and reduced complaints by 45%.
* Instituted a performance management system, which provide ongoing feedback to
support staff and increased Bankers satisfaction by 50%.
* Produced charge-back rates that allow for 90% recovery of costs from service r
eceivers.
* Designed and produced the Morgan Stanley Investment Banking pitch book manual.
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Marianna Paolo
H (212) 472-1772
C (631) 835-5285
EDUCATION
* B.S., New York University, 1987
* Series 7, Series 24, Series 27, Series 62, Series 65 and Series 79
ADDITIONAL REGULATORY COURSES FOR 2009 AND 2010
* Introducing Broker Activities for Foreign Listed Securities and ADRS and Clear
ance and Settlement
* FSA Regulation Review * Cross-Border Business for Broker-Dealers
* Small Firm Compliance
* OATS Reporting * Soft Dollar
* MSRB - Updates
* AML Certification * Regulatory Accounting and Reporting
* BCP Program * PIPE Transactions
* Mutual Funds Compliance * Hedge Fund Registration
* Taxes and Hedge Funds
* FINRA Rule 3010, 3012 & 3130 * REIT Compliance
* Private Placement
* 529 College Savings Plan Sales Practices * Avoiding Improper Payment in Intern
ational
Business Practices
* Conflicts of Interest * Suitability - An Institutional Focus

ASSOCIATIONS
**FINRA- Financial Industry Regulatory Authority
**SIFMA-Securities Industry and Financial Markets Association
**FAE - Foundation for Accounting Education
INTERESTS
**Ashtanga Yoga
**Writing - Short Stories & Poems
* Acting - TV, Off-Off Broadway
COMMUNITY SERVICE
* Community Literacy Research Project - Volunteer and Fund Raiser
* All Stars Program - Volunteer