BRIGETTE M _BRIGETTE M. BARLETTO_ 27 C RED OAK LANE OLD BRIDGE, NJ 08857 (917) 750-8975 bb11fb216@westpost.

net SUMMARY OF QUALIFICATIONS Compliance Professional possessing significant experience with leading global financial advisory services, investment, and wealth management firms. Expertise encompasses organization, execution, and oversight of processes that protect the assets of the firm as well as those of its clients representing significant revenue, by assuring compliance with relevant regulatory directives. Background includes coordination of interrelated administrative concerns, not limited to successful delivery of special events. A highly effective facilitator demonstrating a proactive approach to risk reduction issues as well as achievement in developing and leading teams to consistently positive outcomes. EXPERIENCE MORGAN STANLEY & CO., Jersey City, NJ OCTOBER 2009 TO APRIL 2010 _ __COMPLIANCE OFFICER, RISK CONTROL & MANAGEMENT, CSPS (CORE SECURITIES PROCESSING SERVICES__)_ * Served as informational resource in monitoring and compiling records of all risk-related incidents arising from all areas of Operations: one of the firm's largest and most critical divisions. * Participated in Risk Management meetings to present reports of non-compliance to the CEO, including recommendations for mitigating risk and associated fines. * Communicated extensively with the Risk Management division in driving and supporting Compliance. * Managed and processed all Auction Rate Securities buybacks for current as well as former employees of Morgan Stanley. GOLDMAN SACHS AND CO., Jersey City, NJ NOVEMBER 1987 TO DECEMBER 2008 Formerly, Spear, Leeds & Kellogg _OPERATIONS COMPLIANCE OFFICER__ (1/06 to 12/08)_ * Subsequent to Goldman Sachs' acquisition of Spear, Leeds & Kellogg, was selected to remain with the firm in order to assure continuity and efficacy of class action-related functions for two business entities: Goldman Sachs (GS) and Goldman Sachs Execution troubleshot and resolved problem issues.

* Maintained and reviewed various reports to ensure operational conformance with company policies and standards of quality as well as applicable regulatory mandates. _BRIGETTE M. BARLETTO_ PAGE TWO _COMPLIANCE, LEGAL, AND REGULATORY/CLASS ACTION REPRESENTATIVE__, Spear, Leeds apprised attendees of dates, times, and venues. Oversaw set-up and operability of audio-visual aids, printing and distribution of required materials, and overall efficiency of the meetings. EDUCATION / PROFESSIONAL DEVELOPMENT * Series 7 Licensure course * Business Writing and Communication * Anti Money-Laundering Training * NASD 301.3 CEO Certification Compliance Training * Customer Access Systems (CAS) and Prime Broker Continuing Education course * Readi 5.1 course * OTS (Order Tracking Reporting) * Exchange Reporting (Electronic Blue Sheet course) * Regulation SHO Short Sales course SKILLS * Microsoft Office (Word, Excel, PowerPoint, Outlook/email), MSDS * TPX, AIS, OAS, EFP Systems, Customer Complaint/Rule 410 B Systems * Program trading data entry systems: SIAC and NYSE * CLIDE (Compliance Legal Integrated Data Environment) System * COOL (Computer Output On Line) and Customer Access System _EXCELLENT REFERENCES ARE AVAILABLE UPON REQUEST._