About the Author
SARAH SWAMMY is a Senior Vice President and Chief Operating Officer for the Portfolio Solutions businesses both in State Street Global Market, LLC, a registered broker-dealer subsidiary of State Street Bank and Trust, and in State Street Bank and Trust. She is also a member of the Global Markets Business Risk Committee. Sarah joined State Street from BNY Mellon where she held several leadership positions including Business Manager and Head of Supervision for BNY Mellon Capital Markets, LLC, Chief Administrative Officer for BNY Mellon Global Markets, and principal overseeing the sales and trading businesses. Sarah has held compliance positions at Deutsche Bank Securities, Inc., CSFB, and Barclays Capital, Inc.
MICHAEL MCMASTER is a Managing Director and Chief Compliance Officer for BNY Mellon Capital Markets, LLC, a broker-dealer affiliate of BNY Mellon, Chief Compliance Officer for BNY Mellon's Broker Dealer Services Division and Head of BNY Mellon's Shared Services Compliance Group.