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Title	Location	Date
Title	Location	Date (M/d/yy)	Reset

Senior Associate, Market Surveillance Analyst Senior Associate, Market Surveillance Analyst White Plains, NY, US Jun 19, 2021	White Plains, NY, US	Jun 19, 2021
DIRECTOR, Portfolio Analyst / Risk Manager DIRECTOR, Portfolio Analyst / Risk Manager New York, NY, US Jun 9, 2021	New York, NY, US	Jun 9, 2021
Corporate Vice President - Technology Risk Assurance Manager Corporate Vice President - Technology Risk Assurance Manager New York, NY, US Jun 8, 2021	New York, NY, US	Jun 8, 2021
Manager - Compliance & Regulatory Manager - Compliance & Regulatory White Plains, NY, US Jun 7, 2021	White Plains, NY, US	Jun 7, 2021
SENIOR ASSOCIATE, Agency Standards SENIOR ASSOCIATE, Agency Standards White Plains, NY, US Jun 1, 2021	White Plains, NY, US	Jun 1, 2021
Senior Model Validation Quantitative Analyst - Asset Management Senior Model Validation Quantitative Analyst - Asset Management New York, NY, US May 25, 2021	New York, NY, US	May 25, 2021
Chief Compliance Officer - Mutual Funds and ETFs Chief Compliance Officer - Mutual Funds and ETFs Jersey City, NJ, US May 24, 2021	Jersey City, NJ, US	May 24, 2021
Corporate Vice President, Compliance - Sales Marketing Review Corporate Vice President, Compliance - Sales Marketing Review Jersey City, NJ, US May 22, 2021	Jersey City, NJ, US	May 22, 2021