Investment Management Compliance Executive

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Position
Investment Management Compliance Executive
Location Confidential
No
Location
Northeast USA
Willing to Relocate
Yes
Industry
Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt
Function
Compliance-with-Regulatory-Authorities
Compensation
$250,000 to $500,000

Resume Summary
Investment management executive with unique blend of compliance and operations experience. Specific expertise in compliance programs, distribution, subadvisers and talent development. Communicate effectively at all levels of an organization.

Resume Body      INVESTMENT MANAGEMENT COMPLIANCE EXECUTIVE

INVESTMENT MANAGEMENT EXECUTIVE
Compliance Leadership & Operations Performance & Team Development
Proven leader who successfully leverages client-focus and collaboration with others to seek and deliver risk-appropriate solutions to pressing business needs. Assesses and develops individual talent to drive professional growth, division-wide engagement, and improve overall team performance. Enterprise-wide leadership strengths include architecting programs that ensure operational consistency, managing diverse and complex risk variables, and communicating with all levels of an organization, including boards.

FUNCTIONAL EXPERTISE: Develops and implements compliance programs, risk assessments and required reviews, consistent with Rule 38a-1 of the Investment Company Act of 1940 and Rule 206(4)-7 of the Investment Advisers Act of 1940.

OPERATIONAL EXPERTISE: Evaluates and implements new systems and process improvement.

TECHNICAL EXPERTISE: Deftly navigates unique industry challenges to include mutual fund intermediary distribution issues, service provider oversight and manager of manager (subadvised) fund structures.

INDUSTRY EXPERTISE: Demonstrates expertise as an industry thought leader, speaking regularly at conferences and other industry events.

PROFESSIONAL EXPERIENCE

Investment Adviser, Northeast US 2011-2015
Deputy Chief Compliance Officer
Working with a high degree of autonomy, managed the compliance department of an investment advisory firm with over $150 billion in assets under management across all asset classes. Led team of professionals to increase relevance for compliance agenda while managing each risk and client interface across all compliance functions, including portfolio guideline monitoring, mutual fund distribution, Code of Ethics, regulatory filings and surveillance. The firms clients include mutual funds, institutional accounts, private funds and UCITS.

Led effort to define department mission, identified client-focused key performance indicators and upgraded staff (including promoting top performers) which led to increased engagement and improved performance of compliance team
Designed and managed compliance programs that brought new levels of effectiveness, resulting in an improved risk profile, operating leverage and the ability to expand business
Enhanced effectiveness of firms Code of Ethics by leading revision of Code, implementation of new employee trade monitoring system and development of online training program
Led the team responsible for implementation of multiple third-party guideline compliance systems (including Charles River) coupled with improved controls to identify and capture investment restrictions outlined in client agreements
Realized repeated successes in coaching and readying individuals to expand their capabilities and contributions to the company
Led and improved firms subadviser oversight program, including the development of a risk rating tool and improved reporting structure for the funds board and the institutionalization of initial and ongoing due diligence
Worked across the business to enhance the firms culture of compliance and supported business initiatives by providing advice to all areas of the organization on compliance-related matters and serving on various committees and working groups
Guided team through process to improve efficiency in completing compliance reviews for two investment advisers, two mutual fund families, a UCITS complex and a broker-dealer through standardization of testing approach and improved reporting process, which accelerated the delivery of reports to clients
Led redesign of firms review of advertising materials, leading to shorter review times, improved FINRA compliance rates and a more effective utilization of legal and compliance resources
Managed ongoing relationship with funds board by preparing reports, presenting at each meeting and initiating an interim communication plan
Served as CCO for manager-of-managers fund family and head of compliance for UCITS family sponsored by adviser
Effectively managed regulatory examinations and reviews by regulators including the SEC and FINRA
Demonstrated thought leadership by engagement in industry activities, speaking at conferences and distilling trends to keep organization ahead of emerging issues; recent industry presentation topics include intermediary distribution and service provider oversight

Asset Management Affiliate of Large Financial Services Firm, Southeast US 1991-2011
Head of Mutual Fund Operations
Led fund operations and administration of a mutual fund complex. Built a progressive internal and industry-recognized track record, partnering with and then promoting through a variety of leadership roles for a mutual fund family and its adviser, including Funds principal executive officer, chief compliance officer, treasurer and chief operating officer of the Funds transfer agent and fund accountant.

Head of Mutual Fund Operations
Developed and implemented business plan for money market operations resulting in $5 million annual increase in income
Led outsourcing of transfer agency and fund operations resulting in over 20% cost savings to fund shareholders
Identified and cultivated talent, leading a team of individuals to develop industry expertise
Consistently outperformed budget in managing a multi-million dollar P&L for mutual fund operations
Supported sales organization by ensuring quality shareholder service, collaborating on product line and pricing and organizing a broker-dealer distributor
Led preparation of, and certified fund financial statements and other regulatory filings
Oversaw completion of boards annual renewal of investment advisory and other contracts
Served as key executive contact between adviser, board and fund counsel; prepared and delivered presentations to board; facilitated board meeting agenda

Chief Compliance Officer
Developed and managed funds and advisers compliance program, including compliance policies and procedures, risk assessment and annual compliance reviews; served as first full-time chief compliance officer of funds and their adviser
Designed and executed oversight program for affiliated and unaffiliated subadvisers, intermediaries and other service providers
Led successful completion of regulatory exams

Head of Transfer Agent Services
Led internal mutual fund transfer agency through a dynamic period, in which the shareholder account base grew from 150,000 to 850,000 accounts; designed and implemented policies and procedures necessary to support these activities
Established second operating site and ensured consistent performance across enterprise
Designed internal control structure, policies and procedures and financial reconciliations for internal transfer agent

Big 4 Accounting Firm, Southeast US 1990-1991
Staff Accountant
Performed financial statement audits of various public and private entities; reviewed financial and operational systems and adequacy of internal controls; coordinated and reviewed work performed by audit staff and internal auditors; represented firm in United Ways Loaned Executive program, organizing annual fundraising campaign at local companies.

INDUSTRY LEADERSHIP
Demonstrated industry presence through active service on various committees, including ICI Chief Compliance Officer, Operations, Operations Chairman Advisory, Annual Operations Conference Planning and Transfer Agent Advisory Committees
Frequent speaker at industry events on various relevant industry topics, including
ICI Mutual Funds Compliance Programs Conference, Independent Directors Council Fund Directors Conference, ICI/IDC Webinar (2014), ICI Operations Conference, Service provider CCO Forum

EDUCATION AND CERTIFICATIONS
Masters of Accountancy, Southeast US, 1989
Concentration in Accounting and Information Systems

Bachelor of Science in Accounting, Southeast US, 1988

Certified Public Accountant, 1991-present

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Investment Management Compliance Executive

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