Vice President, Securities Division Compliance @ From September 2013 to Present (2 years 4 months) Derivatives Operations, Master Agreement Risk Management @ • Negotiated and reviewed covered party ISDA Amendments for the firm’s largest Investment Advisors • Coordinated efforts between Credit, Legal, and Client Due Diligence to review and prioritize large Investment Advisor client amendment requests and enhance the overall client experience • Worked to manage the firm’s risk associated with bankruptcy netting, collateral enforceability and rehypothecation issues in connection with the firm’s derivative agreements • Partnered with technology to implement new processes, initiate strategic developments to increase liquidity to the firm, support business initiatives and mitigate risk • Subject Matter Expert on Data Quality Review (DQR) Process for ISDA Agreements which entails analysis of negotiated legal and credit terms, identification of key risks within terms, and subsequent data modeling within firm systems • Implemented system enhancements/builds, developed test scripts, identified workflow gaps and coordinated with key stakeholders to resolve issues From June 2011 to September 2013 (2 years 4 months) Securities Litigation Intern @ • Conducted legal research for client matters and drafted related legal memoranda relating to the Securities Act of 1933 and the Securities and Exchange Act of 1934 • Reviewed tax related documents to determine suspicious areas for use in cross examination • Assisted in depositions with the U.S. Securities and Exchange Commission • Drafted an Initial Evaluation and Preliminary Litigation Plan for Insurance Defense on a Professional Malpractice claim under FINRA • Assisted in drafting a Private Placement Memorandum for an Investment Fund From October 2010 to March 2011 (6 months) Corporate Department Intern @ • Conducted legal research for client matters and drafted related legal memoranda, with one memorandum on a particular limitation on Tax Exempt Bond Financing • Drafted client correspondence in order to comply with statutory requirements under the Rhode Island Open Meetings Law and Public Records Act • Developed and implemented legal strategy under the supervision of a partner in order to comply with statutory requirements • Assisted in drafting an answer to a Complaint filed with the Attorney General • Drafted contract language to comply with statutory law in Massachusetts on Pre-Need Funeral Trusts and Pre-Need Funeral Contracts From January 2010 to April 2010 (4 months) Intern @ From May 2007 to August 2007 (4 months)

J.D. @ Roger Williams University School of Law From 2007 to 2010 B.A., Psychology @ University of Massachusetts, Amherst From 2003 to 2007 Heather Cleary is skilled in: Legal Writing, Legal Research, Risk Management, Analysis, Derivatives, ISDA, PowerPoint, Securities Regulation, Mediation, Litigation, Data Quality, Derivative Operations, Microsoft Excel, Volcker Rule, Corporate Law, Financial Risk