Senior Vice President

• Mar 2022 - Present

Director, Compliance

• Dec 2009 - Apr 2022

Responsible for the Global Risk for Portfolio Compliance and the Senior Regional lead for the West Coast Portfolio Compliance team, overseeing daily monitoring of portfolio regulatory and client guidelines • Developed and implemented a risk program across the Portfolio Compliance to mitigate platform risk • Create global policies for Portfolio Compliance and BlackRock • Develop and grow talent within the team creating the next generation of leaders • Provide daily guidance and… Show more Responsible for the Global Risk for Portfolio Compliance and the Senior Regional lead for the West Coast Portfolio Compliance team, overseeing daily monitoring of portfolio regulatory and client guidelines • Developed and implemented a risk program across the Portfolio Compliance to mitigate platform risk • Create global policies for Portfolio Compliance and BlackRock • Develop and grow talent within the team creating the next generation of leaders • Provide daily guidance and assistance for policies and procedures for fixed income, equity, transition management and alternative investments for regulatory rules and transactions • Assist in implementation of compliance programs for 1940 act regulated funds, ERISA exemptions and the Office of Comptroller of Currency requirements • Assist client relationship executives in providing a compliance overview to perspective clients and for on-site due diligence visits • Manage team budgets

Director of Compliance - Portfolio Testing Manager

• Jun 2008 - Dec 2009

• Managed a team of compliance professionals responsible for monitoring fixed income portfolio guidelines • Establish and execute policies and procedures regarding portfolio monitoring and implementation of a compliance program • Compliance liaison to fixed income management team and fixed income senior management for policies and procedures and compliance regulations, such as best execution and affiliated transactions • Established… Show more • Managed a team of compliance professionals responsible for monitoring fixed income portfolio guidelines • Establish and execute policies and procedures regarding portfolio monitoring and implementation of a compliance program • Compliance liaison to fixed income management team and fixed income senior management for policies and procedures and compliance regulations, such as best execution and affiliated transactions • Established mandate specific guidelines in conjunction with fixed income portfolio managers and fixed income strategists • Led the Portfolio Compliance team for BGI during the integration with BlackRock coordinating the implementation and migration of all legacy portfolio compliance systems into Aladdin

Compliance Officer

• Jan 2003 - May 2008

• Interpret and enter guidelines into internal matrix for portfolio management, compliance and client services • Negotiate and review portfolio guidelines with client prior to account start-up • Implemented policies and procedures for the compliance department • Assist client service executives in providing a compliance overview to perspective clients • Assist product specialist with mandate specific guidelines • Developed an internal report for the portfolio managers… Show more • Interpret and enter guidelines into internal matrix for portfolio management, compliance and client services • Negotiate and review portfolio guidelines with client prior to account start-up • Implemented policies and procedures for the compliance department • Assist client service executives in providing a compliance overview to perspective clients • Assist product specialist with mandate specific guidelines • Developed an internal report for the portfolio managers to track derivative positions and the securities required for coverage • Project coordinator for audit of portfolio compliance policies, procedures, and guidelines Show less • Interpret and enter guidelines into internal matrix for portfolio management, compliance and client services • Negotiate and review portfolio guidelines with client prior to account start-up • Implemented policies and procedures for the compliance department • Assist client service executives in providing a compliance overview to perspective clients • Assist product specialist with mandate specific guidelines • Developed an internal report for the portfolio managers… Show more • Interpret and enter guidelines into internal matrix for portfolio management, compliance and client services • Negotiate and review portfolio guidelines with client prior to account start-up • Implemented policies and procedures for the compliance department • Assist client service executives in providing a compliance overview to perspective clients • Assist product specialist with mandate specific guidelines • Developed an internal report for the portfolio managers to track derivative positions and the securities required for coverage • Project coordinator for audit of portfolio compliance policies, procedures, and guidelines Show less

Compliance Officer

• Mar 2000 - Dec 2002

Compliance

• 1998 - 2000