Senior Compliance Consultant

• Jul 2023 - Present

Director

• Feb 2023 - Jul 2023

Served as outsourced chief compliance officer providing consulting services to investment advisers including disclosure in regulatory filings, Form ADV, policies and procedures, and compliance programs. Skills: Compliance Consulting * Securities * Investment Advisers Act * Investment Company Act Served as outsourced chief compliance officer providing consulting services to investment advisers including disclosure in regulatory filings, Form ADV, policies and procedures, and compliance programs. Skills: Compliance Consulting * Securities * Investment Advisers Act * Investment Company Act

Outsourced Chief Compliance Officer

• May 2021 - Feb 2023

Served as the outsourced chief compliance officer providing consulting services to investment advisers in the management of their overall compliance program. Responsibilities included the day-to-day management of clients’ compliance programs. Duties included coordination of annual reviews, compliance testing, administering of the policies and procedures and ultimately keeping the compliance calendar on track. Served as the outsourced chief compliance officer providing consulting services to investment advisers in the management of their overall compliance program. Responsibilities included the day-to-day management of clients’ compliance programs. Duties included coordination of annual reviews, compliance testing, administering of the policies and procedures and ultimately keeping the compliance calendar on track.

Chief Compliance Officer

• Dec 2020 - Apr 2021

Responsible for implementation of the firm's compliance program. Identified potential areas of compliance vulnerability then developed and implemented corrective action plans to address. Responsible for implementation of the firm's compliance program. Identified potential areas of compliance vulnerability then developed and implemented corrective action plans to address.

Compliance Consultant

• Jan 2020 - Nov 2020

Deliver best in class compliance consulting solutions to hedge fund, private equity, family office, and institutional money manager clients, minimizing SEC regulatory risk. Stimulate growth for clients by implementing cost-efficient control processes, compliance management standards, and resource allocation plans aligned with long-term business strategies and objectives. Drive regulatory examination preparedness through annual stress tests and continuous monitoring. Skills: Compliance Consulting * Regulatory Filings * Compliance Policies and Procedures * Investment Adviser Act Show less

Chief Compliance Officer

• Jan 2019 - Dec 2019

Led the Compliance Department and implementation of the compliance program designed to test the effectiveness of controls related to conflicts of interest and adherence to methodology. Serving as subject matter expert and primary contact for regulators. Skills: Management * Securities Exchange Act of 1934 * Credit Rating Analysis * Regulatory Compliance Led the Compliance Department and implementation of the compliance program designed to test the effectiveness of controls related to conflicts of interest and adherence to methodology. Serving as subject matter expert and primary contact for regulators. Skills: Management * Securities Exchange Act of 1934 * Credit Rating Analysis * Regulatory Compliance

Compliance

• Nov 2015 - Jan 2019

Compliance Officer in Morningstar's Credit Ratings business (Morningstar Credit Ratings, LLC). Morningstar’s credit ratings subsidiary is a Nationally Recognized Statistical Ratings Organization (NRSRO). Skills: Management * Securities Exchange Act of 1934 * Credit Rating Analysis * Regulatory Compliance Compliance Officer in Morningstar's Credit Ratings business (Morningstar Credit Ratings, LLC). Morningstar’s credit ratings subsidiary is a Nationally Recognized Statistical Ratings Organization (NRSRO). Skills: Management * Securities Exchange Act of 1934 * Credit Rating Analysis * Regulatory Compliance

Senior Compliance Analyst

• Jul 2014 - Oct 2015

Performed critical rule development, testing, and validation in transitioning the firm's investment guideline monitoring systems. Completed regulatory testing consistent with SEC Rule 206(4)7. Performed critical rule development, testing, and validation in transitioning the firm's investment guideline monitoring systems. Completed regulatory testing consistent with SEC Rule 206(4)7.

Compliance Officer

• May 2008 - Jul 2014

Managed the critical components of investment guideline monitoring through rule development and testing, system maintenance and enhancement, on-boarding new accounts, complex product monitoring, and new instrument/product evaluation. Managed the critical components of investment guideline monitoring through rule development and testing, system maintenance and enhancement, on-boarding new accounts, complex product monitoring, and new instrument/product evaluation.

Guideline Monitoring

• Sep 2006 - May 2008

Fund Trader, Fund Analyst, and Fund Accountant

• May 1997 - Sep 2006

Worked various analytical roles from daily fund pricing and fund monitoring analysis to trading strategies in portfolio management of the Vanguard Funds' fixed income investments. Worked various analytical roles from daily fund pricing and fund monitoring analysis to trading strategies in portfolio management of the Vanguard Funds' fixed income investments.