Experience

John Hancock Investment Management

• United States
• Investment Management
• 300 - 400 Employee

• Compliance Director, Office of the CCO

  • Jan 2022 - Present



State Street Global Advisors

• United States
• Financial Services
• 700 & Above Employee

• Vice President, Compliance - Fund CCO Office

  • Aug 2015 - Jan 2022

  Managing a team of Compliance professionals reporting directly into the Fund Chief Compliance Officer Primary responsibilities include: • Produce board memoranda for Funds CCO of four separate registered ETF and mutual fund complexes comprised of 100+ funds and over $400 billion in assets under management • Manage third party oversight activities for the Funds CCO Office • Conduct onsite due diligence meetings at the various sub advisors and service providers of the Funds • Manage regulatory examinations of SSGA and the Registered Funds, including the review and submission of all responsive materials • Maintain and update existing Fund policies for their adequacy and effectiveness in accordance with Rule 38a-1 • Aid in the design and administration of SSGA Compliance’s Risk Assessment and Compliance Oversight Program • Identify and address emerging risks impacting SSGA and the Funds • Monitor and assess potential fund compliance and guideline breaches ensuring action is taken when necessary • Member/Proxy of various Risk, Product, Investment, Operations and Compliance Governance Committees • Manage and develop a team of Compliance professionals



State Street

• United States
• Financial Services
• 700 & Above Employee

• Investment Compliance Operations Manager

  • Nov 2014 - Aug 2015

• Fund Administration - Client Operations Manager

  • Mar 2007 - Nov 2014



Investors Bank & Trust

• United States
• Financial Services
• 100 - 200 Employee

• Fund Accounting Manager

  • Mar 2005 - Mar 2007