JONATHAN ETKIN

382 Central Park West, Apt. 15R * New York, New York 10025
Day: 646.232.3605 * Eve: 212.864.2277
SUMMARY
Seasoned Audit and Compliance professional with extensive industry experience. B
road knowledge of the investment industry and products; risk management and proc
ess controls. Consistently acknowledged for professionalism and integrity; analy
tical skills and diligence; effectiveness handling business relationships and wo
rking with senior executives.

AMERIPRISE FINANCIAL 2005 to 2010

(formerly J. & W. SELIGMAN & CO., INCORPORATED)
Compliance Manager - Asset Management Compliance 2009 - 2010
Accomplishments
Subadvisory Oversight
* Partner with senior management in the daily administration and oversight of su
b-advisory relationships, compliance programs, and $25 billion expansion of suba
dvisory business.
* Member of Subadvisor Management Committee and Due Diligence Team, overseeing
hiring of more than 15 subadvisors.
* Reorganized and streamlined five years historic subadvisory electronic docume
ntation; created data links to source documents to improve research and retrieva
l capabilities.
Branch Office Inspections
* Managed annual inspections of the Boston, Massachusetts and New York branch of
fices of RiverSource Fund Distributors, Inc. to ensure compliance with NASD Rul
e 3010.
Integration of J. & W. Seligman & Co., Incorporated with Ameriprise Financial
* Created forensic test plans for Seligman policies adopted by Ameriprise.
* Created process flowcharts of Seligman trading desks; trading system controls;
and back office compliance operations for Ameriprise and Seligman CCOs to ensur
e the complete integration of Ameriprise and Seligman trading processes and moni
toring controls.
* Managed the final annual Anti-Money Laundering Review prior to legal acquisiti
on of Seligman by Ameriprise.
* Managed the final annual inspection of the Office of Supervisory Jurisdiction
prior to the legal acquisition of Seligman by Ameriprise.
Senior Compliance Examiner - Law & Regulation Department 2005 - 2008
Newly created position reporting directly to the CCO.
Accomplishments
* Created and managed annual audit plan for $16-20 billion advisory business and
broker-dealer operations, and reported results to Compliance Oversight Committe
e.
* Developed position into a key component of the Legal Compliance Area.
* Recommendations made regarding firm operations contributed to an uneventful 20
06 SEC review. Performed independent testing to verify compliance with SEC obse
rvations.

JONATHAN ETKIN
382 Central Park West, Apt. 15R * New York, New York 10025
Day: 646.232.3605 * Eve: 212.864.2277
(continued)

METROPOLITAN LIFE INSURANCE COMPANY 1980 to 2005

Senior Auditor - Internal Investments Auditing 1997 - 2005
Accomplishments
* Led project team initiative to formalize trading desk documentation for seven
fixed-income trading desks governing a $200 billion investment portfolio. Projec
t led to strengthening trading controls and limiting firm risk exposure.
* Created, executed, and documented initial and on-going test plans of financial
reporting processes, risks and controls to comply with Sarbanes-Oxley Act rules
.
* Partnered with Vice President in the annual planning and risk assessment of th
e $350 billion investment audit universe.
* Prepared audit commentary for the Audit Committee and year-to-date Investment
audit results and presentations for senior management.
Cash Planner - Liquidity Management, Corporate Investments 1990 - 1997
Accomplishments
* Developed and executed daily cash forecasts, plans and budgets totaling $12 bi
llion; consisting of MetLife's six primary performance accounts.
* Member of the Liquidity Management Re-engineering Team responsible for analyzi
ng liquidity management operation efficiencies. Recommendations led to the auto
mation of daily cash flow reporting by the lines of business.
* Cited by Corporate Investments for exemplary work in cash planning and client
relations.
* Appointed Corporate Investment Department's Business Advisor as part of firm s
ponsorship of the INROADS three-year summer student internship program. Mentored
intern assigned to Corporate Investments who was later offered a full-time posi
tion with MetLife.
Financial Analyst - Securities Accounting and Reporting 1987 - 1990
Monitored $600 million portfolio account, reported the daily cash position and N
.A.V. for investment officers. Prepared monthly and quarterly performance repor
ts and forecasts, and participated in the annual preparation of the Schedule of
Investments and Schedule D.
Senior Contract Analyst - Group Insurance Actuarial 1980 - 1987
EDUCATION
Pace University, New York, NY M.B.A. Finance Management (1986)
Connecticut College, New London, CT B.A. Government (1980)
University of Pennsylvania, Philadelphia, PA Courses taken at the W
harton School (1978-79)