Experience

Stone Coast Fund Services

• United States
• Financial Services
• 100 - 200 Employee

• Manager - Risk and Control

  • Dec 2015 - Present

  Portland, Maine, United States Responsible for the development, oversight, and monitoring of the enterprise risk management framework and subsidiary cross-functional risk management programs, including Operational Risk, Business Continuity/Disaster Recovery, Vendor Management, and Incident Response. Responsible for the drafting and production of the annual SOC 1 Type 2 report. Act in an consultative or advisory capacity to assist Operations, Technology, and other teams as necessary with the design of control… Show more Responsible for the development, oversight, and monitoring of the enterprise risk management framework and subsidiary cross-functional risk management programs, including Operational Risk, Business Continuity/Disaster Recovery, Vendor Management, and Incident Response. Responsible for the drafting and production of the annual SOC 1 Type 2 report. Act in an consultative or advisory capacity to assist Operations, Technology, and other teams as necessary with the design of control procedures and the documentation of the performance of those control procedures. Provide AML Officer services to Cayman domiciled fund clients, acting as both the Anti-Money Laundering Compliance Officer (AMLCO), and the Money Laundering Reporting Officer (MLRO). Show less



Citi Hedge Fund Services North America Inc

• Senior Vice President - Risk and Control

  • Jan 2015 - Dec 2015

  New Jersey, United States Managed a team of 6 risk and control professionals across 4 locations in North America and EMEA. Oversaw the completion of all MCA's for the hedge fund business in North America and EMEA. Oversaw the completion of the annual SOC for the hedge fund business. Responsible for the KYC, AML and Sanction Screening program for North America and The Cayman Islands. Continued to act as the MRLO for the Cayman entity.



Citi Hedge Fund Services North America, Inc.

• Vice President - Risk and Control

  • Jun 2008 - Dec 2014

  New Jersey, United States Ensured appropriate and timely completion of all Manager Control Assessments ("MCA", formerly RCSA), across the North America and the Cayman Islands. Monitored all operational control issues, and tracked any related corrective action plans to completion. Monitored all SOC controls and liaised with SOC auditors as required. Created and maintained KYC, AML and Sanction Screening programs for North America and the Cayman Islands, in accordance with applicable regulation and Citi's Global… Show more Ensured appropriate and timely completion of all Manager Control Assessments ("MCA", formerly RCSA), across the North America and the Cayman Islands. Monitored all operational control issues, and tracked any related corrective action plans to completion. Monitored all SOC controls and liaised with SOC auditors as required. Created and maintained KYC, AML and Sanction Screening programs for North America and the Cayman Islands, in accordance with applicable regulation and Citi's Global AML policy. Continued to act as MLRO for the Cayman entity. Show less



CIti Hedge Fund Services (Cayman) Ltd

• Vice President - Investor Services

  • Mar 2002 - Jun 2008

  George Town, Grand Cayman, Cayman Islands Managed a team of twenty two investor service professionals, and the day to day operations of the investor services department. Acted as the entities Money Laundering Reporting Officer.



Hamill Spence O'Connell

• Audit Senior

  • 1997 - 2001