Experience

Fairview®, LLC

• United States
• Financial Services
• 1 - 100 Employee

• Director of Client Solutions, Relationship Manager

  • Jan 2022 - Present

  Raleigh, North Carolina, United States

• Lead Compliance Associate - Team Lead, Client Solutions

  • Jan 2020 - Dec 2021

  Raleigh-Durham, North Carolina Area

• Senior Associate, Operations and Compliance Technology

  • Sep 2017 - Dec 2019

  Raleigh, NC Fairview™ was founded with the mission of providing outstanding compliance administration to advisory firms and investment management companies. Growing money management firms generally struggle with handling the compliance and operational challenges of an investment firm. As a service-focused company invested heavily in technology and operations expertise, we seek to support firms who want to stay focused on their primary objectives: managing money and maintaining their client relationships.



Hatteras Investment Partners

• United States
• Investment Management
• 1 - 100 Employee

• Senior Associate, Compliance and Fund Administration

  • Jul 2015 - Sep 2017

  Raleigh, North Carolina Recruited to bolster, enhance, & promote compliance program of a registered investment advisor that provides unique alternative investments for Financial Advisors & their Clients. • Designed and implemented new compliance monitoring software to effectively automate firm controls and questionnaires • Perform substantive and forensic testing of the Firm’s Code of Ethics while also preparing results for the Board of Directors • Reviewed investment company balance sheets & statement… Show more Recruited to bolster, enhance, & promote compliance program of a registered investment advisor that provides unique alternative investments for Financial Advisors & their Clients. • Designed and implemented new compliance monitoring software to effectively automate firm controls and questionnaires • Perform substantive and forensic testing of the Firm’s Code of Ethics while also preparing results for the Board of Directors • Reviewed investment company balance sheets & statement of operations/changes guaranteeing compliance with fund filings. • Manage and distribute Private Placement Memorandums and Sub-Docs during subscription phase of private equity fund launches • Append quarterly valuations of Venture Capital Funds while also preparing monthly cash reconciliation • Conduct ongoing due diligence of fund sub-advisers via liquidity reporting requests, quarterly questionnaires, and 15-C evaluations • Provided principal approval for 600+ fund advertisements. Calculated fund/benchmark ROI’s to verify accuracy. • Review and prepare fund regulatory filings for the SEC, FINRA, and NFA. • Communicate pertinent information to regulatory agencies, outside counsel, auditors, and the Funds' Boards of Directors Show less



Credit Suisse

• Switzerland
• Banking
• 700 & Above Employee

• Assistant Vice President - Fixed Income Cash Control and Regulatory Reporting

  • Feb 2013 - Jul 2015

  Research Triangle Park, NC Hired as manager to lead an eight-person team (5 domestic & 3 offshore) responsible for trade management of Fixed Income products, driving operational efficiency, & ensuring the completion of 16 daily regulatory reports. • Engineered multifaceted report identifying payables/receivables resulting in an 80% reduction in time spent recapping data. • Gathered complex details and requirements for business development documents. Mapped processes to expose inefficiencies. • Synchronized… Show more Hired as manager to lead an eight-person team (5 domestic & 3 offshore) responsible for trade management of Fixed Income products, driving operational efficiency, & ensuring the completion of 16 daily regulatory reports. • Engineered multifaceted report identifying payables/receivables resulting in an 80% reduction in time spent recapping data. • Gathered complex details and requirements for business development documents. Mapped processes to expose inefficiencies. • Synchronized daily funding of Treasury and MBS accounts. Released payments (~$1bn) to departments with liquidity needs. • Analyzed and submitted Schedule C & SI Federal Reporting. Vetted respective financial instruments to verify classification. • Fielded inflows/outflows in excess of $30 billion amid increased periods of trade volume during settlement cycles.

• Senior Analyst - Prime Services Equity Fail Control

  • Jun 2010 - Feb 2013

  Research Triangle Park, NC Partner with front office, technology, and product control to ensure timely and accurate trade management of equity trades • Implemented new tagging logic to re-assign 2,500+ entries resulting in a 20% reduction in erroneously tagged trade breaks. • Formulated report to provide preemptive breakdown of cash differences for 50,000+ ‘Done-with’ trades saving $500/day. • Hardcoded 100+ sets of instructions to endorse straight through processing eventually increasing capacity by 1.5… Show more Partner with front office, technology, and product control to ensure timely and accurate trade management of equity trades • Implemented new tagging logic to re-assign 2,500+ entries resulting in a 20% reduction in erroneously tagged trade breaks. • Formulated report to provide preemptive breakdown of cash differences for 50,000+ ‘Done-with’ trades saving $500/day. • Hardcoded 100+ sets of instructions to endorse straight through processing eventually increasing capacity by 1.5 hr/ day. • Earned Top Talent commendation from senior management as a subject matter expert for trade reconciliation.

• Analyst - Loan Operations Control

  • Sep 2008 - May 2010

  Research Triangle Park, NC Monitored and reconciled the four major accounts (~$4 Billion) used by the Loan Operations department • Fostered operational excellence team project to streamline daily processes achieving time savings of 40 hr / week. • Led research project to trace and recover $700k in firm funds after an audit revealed account discrepancies. • Served as the primary contact for negotiating all compensation inquiries for late funding and optimized by 1 hr/day.



North Carolina State University

• United States
• Higher Education
• 700 & Above Employee

• Intern

  • Jun 2006 - Aug 2008

  Raleigh, North Carolina Worked closely with university controllers, accountants, & assets managers to serve as an internal auditor. • Audited newly acquired university assets, tagged each item with a unique barcode identifier, and calculated depreciation • Reviewed invoices to determine tax status and prepare for external audits and developed new document organization system