Vice President

• Apr 2020 - Present

Compliance Consultant

• Aug 2019 - Apr 2020

Investor Relations Coordinator [de facto Coordinator – Compliance & Investor Relations]

• Sep 2013 - May 2018

Elevated compliance and investor relations in a key role as primary point of contact with 1,000 high-net-worth individuals. Rapidly acquired extensive knowledge of investment vehicles at a large, well-respected private investment firm: real estate, private equity, hedge fund and private equity pooled vehicle investors. ➤ Enriched enterprise risk management in onboarding high-net-worth investors and institutional clients. Disseminated fund offering material to new investors. ➤ Attained 100% accuracy in compliance, ensuring that each investor was an accredited investor or a qualified purchaser, including AML/KYC compliance. ➤ Contributed to growth from $28B to $40B AUM, with average increase of $5B to $10B per year. ➤ Collaborated in the implementation of 3 CRM software systems, ensuring security and accuracy of investor information and training staff. ➤ Generated $4B AUM by managing all client onboarding and transfers for newly launched pooled investment vehicles. Liaised with attorneys and portfolio managers throughout each closing process. ------ Additional experience in real estate and operations with Grosvenor, Urban Land Institute and more. Strengths: Regulatory Requirements – Client Engagement – High-Net-Worth Clients – KPIs – Data-Based Decisions – Customer Retention – Revenue Growth – Compliance Reports – Risk Management Practices – Analytical Thinking – Quarterly Line-of-Business Reports – AML/BSA Requirements – Investment Risk – Regulatory Risk – Economic Risk – Operational Needs – Client Onboarding – Operational Risk – Bank Secrecy Act Compliance (BSA) – Internal Audits – Project Management – Leadership – Innovation – Governance – Compliance Policies & Procedures – SEC Form D – Japanese Business Practices – Business Relationship Management – Anti-Money Laundering Regulations (AML) – Presentations – Management Practices – Sanctions Controls – Cross-Functional Team Leadership – KYC/CDD Show less