Experience

PGIM

• Financial Services
• 500 - 600 Employee

• Compliance Manager

  • Nov 2019 - Present



Solaris Consultants

• United Kingdom
• IT Services and IT Consulting
• 1 - 100 Employee

• Consultant

  • Oct 2018 - Jul 2019

  Engagement: BNP ParibasMember of the US project team responsible for coding and testing rules in Aladdin (Blackrock) transferred from BNPs proprietary compliance system. Created templates for various U.S. regulatory rules. Engagement: BNP ParibasMember of the US project team responsible for coding and testing rules in Aladdin (Blackrock) transferred from BNPs proprietary compliance system. Created templates for various U.S. regulatory rules.



Alderson Loop

• United States
• Staffing and Recruiting
• 1 - 100 Employee

• Consultant

  • Jan 2018 - Oct 2018

  Engagement: T. Rowe PriceAs part of Investment Operations UK, responsible for identifying, correcting and resubmitting exceptions to the UK regulator within the set deadlines. Researched and raised any issues to Legal, Compliance and Technology as required.

• Consultant

  • Jan 2017 - Dec 2017

  Engagement: T. Rowe PriceAs a member of the Front Office Technology Group, was responsible for analyzing the MiFID II requirements for Trade and Transaction Reporting and assessing any gaps in the Charles River Development (CRD) solution. Performed SIT and User testing in the run up to MiFID II “go live” on Jan 3, 2018



DWS Group

• Germany
• Financial Services
• 700 & Above Employee

• Consultant

  • Apr 2013 - Jun 2016

  Engagement: Deutsche Asset ManagementMember of the global project team responsible for transferring the European and US compliance rules from Charles River to Aladdin (Blackrock). Engagement: Deutsche Asset ManagementMember of the global project team responsible for transferring the European and US compliance rules from Charles River to Aladdin (Blackrock).



DWS Group

• Germany
• Financial Services
• 700 & Above Employee

• Head of Investment Management Compliance, Co-Head of Global Guideline Monitoring

  • Jul 2002 - Oct 2012

  Spearheaded 23 people responsible for supporting the investment activities relating to DeAM’s various business lines, institutional advisory services, retail mutual funds and other investment products. Spearheaded 23 people responsible for supporting the investment activities relating to DeAM’s various business lines, institutional advisory services, retail mutual funds and other investment products.



MFS Investment Management

• United States
• Investment Management
• 700 & Above Employee

• Vice President

  • 1983 - 2002

  Held a variety of positions including:> Compliance Officer - Vice President (Head of Institutional Guideline Monitoring)> Manager Fund Treasury - Assistant Vice President> Senior Database Reporting Developer> Data Management - Supervisor> Administrative Officer> Option Tax Controller> Administration Held a variety of positions including:> Compliance Officer - Vice President (Head of Institutional Guideline Monitoring)> Manager Fund Treasury - Assistant Vice President> Senior Database Reporting Developer> Data Management - Supervisor> Administrative Officer> Option Tax Controller> Administration