Compliance Manager Resume

SUMMARY

Results - driven middle office leader with more than 15 years of experience within the financial services arena.
Proven aptitude for identifying operational efficiencies and solving complex business issues through project management and process improvement.
Established reputation for tackling special projects outside established responsibilities and comfort zone.
Built a strong reputation as a trusted advisor and strategic partner for internal and external clients at the institutional and enterprise level both mitigating risk and ensuring customer success.

PROFESSIONAL EXPERIENCE

Confidential

Compliance Manager

Responsibilities:

Promoted in May 2013 to perform the compliance day-to-day function for a $74B pension asset management firm; conducting the annual compliance review; and creating/updating written policies and procedures to conform to regulatory requirements. Respond to KYC/AML (Anti Money Laundering) inquiries. Implemented forensic testing initiatives (i.e. Trading and Operational due diligence processes).
Serve as key relationship manager between the external relationship managers, investment staff, and attorneys for investment management agreements. Managing a third-party vendor to monitor securities class action and group shareholder action cases; liaising between the vendor, custodian, law firm, and other relevant parties to file claim documentations.
Managing global entity management project for over 400 entities. Including, project development; defining requirements; updating the entity database; and implementing a solution to improve efficiency and to reduce reporting time by 50%.
Serving as the firm’s project manager representing GM and its approximately 170 affiliates on the Abandoned and Unclaimed Property (AUP) audit project for the State of Delaware. Coordinating with PwC (auditing firm) and Eversheds Sutherland (law firm).
Accountable for set-up, coding, and maintenance of client portfolio guidelines within the Order Management System; pre- and post-trade compliance monitoring and reporting. Liaised with the portfolio managers, traders and custodians to remediate any potential breaches. Implemented and administered External Investment Managers Investment Guidelines monitoring due diligence process.
Managed a team to oversee the Code of Ethics administration area (monitoring personal trading; outside affiliations; gift and entertainment; new employee training; quarterly and annual compliance certification).
Oversee the Vendor Management Program to ensure applicable vendor are included in the review program, track completion and forensic testing of vendor reviews.
Prepare and present compliance reports to senior management (trade error report, broker report card, quarterly compliance report); implemented an annual firm-wide Code of Ethics training.
Updated and filed US and Canadian Regulatory filings (Forms ADV Parts I & II, Form PF, and Canada Monthly Suppression of Terrorism).
Serving as Sub Export Compliance Officer since 2008.

Compliance Analyst

Confidential

Responsibilities:

Reviewed and approved investment guidelines, and performed daily compliance review.
Implemented a comprehensive gap analysis involving an extensive review of all investment guidelines ensuring proper coding and monitoring, utilizing the Custodian, Bloomberg and/or Eze Castle.
Lead analyst when preparing for regulatory examinations and internal audits.
Conducted a due diligence on potential new external investment managers.
Designed and implemented an interactive Annual Compliance / Proxy Voting Survey sent out to external investment managers on an annual basis to complete as part of Compliance’s due diligence.

Financial Analyst

Confidential

Responsibilities:

Supported Portfolio Managers/Directors in the management of in-house and externally managed portfolios.
Responsible for the completion of opening and closing of institutional client accounts within the company and with custodians.
Reviewed and created presentation materials for institutional clients: Fact Sheets, Quarterly Investment Reporting.
Processed timely and accurate investment operations activities (i.e. transaction processing, investment funding, cash transfers, wire set-up, standing letters of authorization, etc.).
Critical resource for special reporting and asset allocation projects.

Confidential

Performance Measurement Specialist

Responsibilities:

Generated monthly Performance Assessment Reports (PAR): summarizing the investment policy: goals and constraints, Ex-post data (performance, turnover, returns based style analysis, MPT statistics, performance attribution vs. benchmark, and risk attribution), current month end data (portfolio characteristics, and Lipper Classification), and Ex-Ante data (Forecasted risk, using the Northfield Fundamental model).
Sent to Bangalore to led a three-month training program of four analysts in the transition of work load for 10+ reports from New York to Bangalore.

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