Experience

Brinker Capital

• United States
• Investment Management
• 1 - 100 Employee

• Director

  • Mar 2022 - Present



Lincoln Financial Group

• United States
• Financial Services
• 700 & Above Employee

• Consultant - Funds Management, Regulatory

  • Jan 2017 - Apr 2022

• Consultant - Funds Management, Regulatory

  • Jan 2017 - Apr 2022



Nationwide Financial

• United States
• Financial Services
• 700 & Above Employee

• Paralegal Specialist

  • Feb 2014 - Apr 2022

  • Manage registration statement annual update process for 119 multi-manager mutual funds, coordinating with fund counsel, internal departments, 40 subadvisers and printer • Draft language for prospectuses, SAIs and supplements related to new fund launches and product changes, such as changes to subadvisers, changes in investment strategies, share class changes, name changes, portfolio holdings disclosure, etc., following quarterly board meetings • Coordinate SEC filings for launch of new funds and product changes to proprietary retail funds and variable insurance products. • Coordinate with fund counsel and manage internally proxy filings and shareholder meetings • Prepare contracts and fee amendments prior to approval at quarterly in-person board meetings Show less



SEI Investments

• Oaks, PA

• Legal Services Manager

  • May 2004 - Feb 2014

  • Manage board meeting process, including preparing agendas and board communications, compiling board materials, and coordinating the attendance of 65+ subadvisers for 15 in-person or telephonic board meetings per year for SEI’s proprietary mutual funds and corporate boards • Attend and oversee all processes for mutual fund and corporate board meetings. Report directly to the Board on certain quarterly items, such as authorized persons, minutes and AML • Draft language for prospectuses, SAIs and supplements related to new fund launches and product changes, such as changes or additions to subadvisers, changes in investment strategies, share class changes, name changes, portfolio holdings disclosure, etc., following quarterly board meetings • Coordinate SEC filings for launch of new funds and product changes to proprietary funds, variable insurance products and new trusts. • Coordinate with fund counsel and manage internally proxy filings and shareholder meetings • Coordinate and organize fund agreements, plans and other exhibits between SEI and fund counsel for filing of annual registration statements for one limited partnership and 10 trusts, consisting currently of 93 funds, with multiple fiscal year ends. • Review and negotiate with subadvisers contracts and fee amendments to subadvisory contracts prior to approval at quarterly in-person board meetings • Review shareholder communications, such as N-CSR, N-SAR and N-Q filings • Provide legal support, such as board preparation, regulatory filings and certifications for alternative products, which consist of proprietary registered, unregistered and offshore hedge funds Show less



Pitcairn Trust Company

• Jenkintown, PA

• Compliance Specialist

  • May 2001 - May 2004

  • Developed procedures to monitor fund compliance with regulatory and prospectus requirements • Coordinated oversight of compliance with fund managers, subadvisers and service providers • Examined company policies and procedures to ensure regulatory and internal compliance • Researched regulatory compliance changes and updated company procedures when necessary • Developed internal audit program and employee training for anti-money laundering program • Prepared fund board materials and attended fund board meetings • Filed Form ADV on IARD website Show less