Experience

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  Penn Capital Management Company, Inc.

  • Compliance Officer

    • 2005 - 2010

    • Ensured and execute an effective compliance program and culture based on regulatory environment and business model. Organize, develop and collaborate with the executive and compliance committees in the implementation process of adopting pending SEC regulatory changes and statutory laws.• Enhanced, develop and seek upper management’s approval for the execution of risk management strategies intended to constrict identified compliance gap(s).• Designed a systemic processes and policies in monitoring adherence to the code of ethics, avoidance of conflict(s) of interest intended to uphold the firm’s fiduciary obligation (e.g. personal trading, socially responsible investing best execution). • Conducted ongoing compliance audit and annual compliance review, proactively aimed in mitigating any issues. Presented to the executive committee of the annual review findings including enhancement of policies and procedures as documented in the compliance manual. Provided staff with ongoing training and dissemination of regulatory changes (promulgated in the SEC website). • Reviewed prospective and existing clients’ contracts and effect procedures to meet specific investment requirements and restrictions. Examine trading activities of clients’ accounts for best practice and best execution.• Interfaced with SEC regulators during scheduled audit of the firm resulting in a positive audit letter.• Oversaw the preparation and review of compliance reports for filing with the regulatory agencies (i.e. ADV, 13f, and 13g). • Reviewed and approved monthly and quarterly investment performance reporting of SMA and composite accounts to qualify clients’ quarterly management fees.• Charged with the preparation, reviewed and presented compliance materials to current and prospective clients, Chief Compliance Officers and industry consultants for their fact-finding and due diligence visits.

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  Princeton Financial Systems

  • Analyst

    • 2003 - 2004

    • Analyzed clients’ needs on the usage of the Princeton Asset Management (PAM) for Securities, Mutual Funds and Mortgages accounting system and functionalities as it pertains to specific accounting and reporting goals.• Tested and troubleshoot software problem(s) and documenting software bugs. Coordinate with programmers, and re-test problem resolutions. • Retrained clients on use of PAM's reporting solutions and support new product versions of PAM’s reporting tools.

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  Stratton Management Co

  • Performance Analyst

    • 1997 - 2002

    • Created and maintain composite accounts.• Analyzed the calculation of investment performance and benchmarking to the various indices followed.• Advised and trained the operation’s team on the processes and maintenance of the various types of investment vehicles most notably the functionality of fixed income securities and its derivatives.• Evaluated fees generated and create assets under management report for presentation to the board of directors. • Interfaced with investment industry consultants regarding SMC’s product lines i.e. investment philosophy, style, products, and performance for client generation. • Generated marketing brochure for presentation to existing and prospective clients.• Prepared and analyze reports of clients’ accounts, detailing their investments for presentation by money managers.