Experience

Ruane, Cunniff & Goldfarb

• Investment Management
• 1 - 100 Employee

• Director Of Compliance

  • Mar 2022 - Present

• Compliance Associate

  • Jun 2019 - Mar 2022



Deerfield Management

• United States
• Investment Management
• 1 - 100 Employee

• Compliance Analyst

  • Dec 2017 - Mar 2019

  Responsible for compliance monitoring in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940, as amended and reported directly to the Chief Compliance Officer. • Administered the Firm’s Code of Ethics policy as required by Rule 204A-1 • Reviewed the Firm’s trading activity to identify potential conflicts • Evaluated and resolved pre-trade and post-trade compliance alerts in Eze OMS • Assisted with US and international regulatory filings and disclosures such as 13G, 13F, Forms 3 & 4, as well as the Firm’s annual amendment to Form ADV • Pre-cleared requests to participate in secondary offerings pursuant to Rule 105 of Regulation M, as well as perform back-testing periodically • Managed inadvertent receipt of custodies in accordance with Rule 206(4)-2 • Surveillance of personal trading through Cordium Compliance ELF • Assisted with maintenance of the Firm’s restricted list to comply with Section 204A • Maintained books and records as specified by Rule 204-2 preclearance and approvals for political contributions, gifts and entertainment, outside businesses, personal trading, private investments and charitable contributions • Assisted with training new and current employees on the Firm’s compliance program • Conducted periodic social media review in connection with Section 206(4) and Rule 206(4)-1(a)(1) • Maintained biographies of all employees • Participated in annual review of all policies and procedures and help oversee compliance mock audit • Collaborated with team members to update the Firm’s Business Continuity Plan and Disaster Recovery Policy Show less



Reservoir Capital Group

• United States
• Investment Management
• 1 - 100 Employee

• Compliance Assistant

  • 2015 - 2017

  • Assisted with administering and implementing the Firm’s Code of Ethics program and policies and procedures in accordance with applicable rules and regulations• Screened all new Investors and capital call contributions to comply with AML laws• Conducted daily review of restricted list check against portfolio companies and electronic communication• Filed quarterly Pay to Play disclosure report in accordance with Rule 206(4)-5• Entity Management: Created, amended, dissolved, and all supporting documents including structure charts. Maintained entity in good standing• Implemented, launched and maintained Compliance Science automating the Firm’s compliance needs• Maintained compliance logs – proxy voting, preclearance request for outside business activities, private investments, gifts and entertainment, charitable and political contributions, and conference/seminar participation• Assisted team with internal annual compliance review• Led D&O process for Firm’s annual renewal and for public portfolio company• Managed all Biographical Affidavits for insurance filings in various states• KYC requests• Worked with the Tax team to create EINs and open bank accounts Show less

• IT Assistant

  • 2012 - 2017

  • Evaluated contracts and vendors, reviewed procurement agreements to develop cost saving measures and time efficient delivery of product. Mediated disputes between vendors and IT staff• Maintained inventory and asset tracking of all equipment and databases containing information regarding licenses, warranties, and service agreements for the organization’s hardware and software• Configured monthly backups of server and coordinated off-site storage in accordance with our compliance manual• Created new smartphone policy with the team ensuring data protection• Assisted team with creating and implementing cybersecurity policy Show less

• IT Test Analyst

  • 2011 - 2012

  • Learned and created checks and balance VBA programs in assistance of financial model quality assurance• Tested allocation models and associated files for performance and functionality

• Administrative Assistant

  • 2009 - 2011

  • Provided administrative support to senior partners and continuously offered versatile assistance for Office Manager on ad hoc projects• Aided Legal and Compliance Team with editing Compliance Manual during SEC certification process