Experience

Rosecliff

• United States
• Investment Management
• 1 - 100 Employee

• Chief Compliance Officer

  • Apr 2023 - Present



GQG Partners

• United States
• Investment Management
• 100 - 200 Employee

• Deputy Chief Compliance Officer

  • Nov 2020 - Mar 2023



FinTech Startup Network

• United Kingdom
• Financial Services
• 1 - 100 Employee

• Chief Compliance Officer (Contract Employee)

  • Oct 2019 - Nov 2020

  Advise product development and technology team in the creation of an AI-driven approach to money management and savings. Areas include Advisers Act policies and procedures (206(4)-7), trading and brokerage practices, insider trading prevention, code of ethics, and AML. Advise product development and technology team in the creation of an AI-driven approach to money management and savings. Areas include Advisers Act policies and procedures (206(4)-7), trading and brokerage practices, insider trading prevention, code of ethics, and AML.



J.P. Morgan Asset Management

• United States
• Financial Services
• 700 & Above Employee

• Global Head of Investment Management Trade Surveillance and Oversight

  • Jan 2016 - May 2019

  Manage the global compliance trade advisory team covering trade advisory, trade surveillance, compliance training and policy management. Subject Matter Expert advising Asset Management senior management on U.S. and international regulatory matters relating to investment management and trading activities including questions on MNPI, Conflicts of Interest and affiliate issues involving ERISA, Mutual Fund and Commingled Funds. Interaction with US and other regulators in conjunction with AM Compliance CCOs and regulatory management teams. Member of the Global Equity and Global Fixed Income, Currency & Commodities Trading Practices Oversight Committees (TPOC) which oversees the fiduciary trading activities for J.P Morgan Asset Management. Responsible for annual Global Front-Office (Muli-Asset) training as well as subject specific education covering Insider Trading and the handling of MNPI. Worked with EMEA counterparts to assess impact of MiFID II on the global asset management business and updated policy and procedures accordingly. Advised the business on changes to operating model to meet MiFID II requirements. Collaborate with larger compliance team to complete the annual compliance review under SEC Rule 206(4)-7. Designed framework for Front Office Supervision program, partnering with the Business Management team and Business Function Heads to implement within the business. Advised on the metrics and thresholds for escalation points to senior management stakeholders. Transformed four independent regional trade surveillance programs into one global consistent program with consistent standards, driving innovation to meet industry and firm-wide best practices. Show less



Sculptor Capital Management

• United States
• Financial Services
• 200 - 300 Employee

• Deputy Chief Compliance Officer

  • Apr 2011 - Jan 2016

  Head of a global compliance team for an investment adviser with approximately $47.0 billion in assets under management and subsidiaries registered with the SEC, NFA, FCA, and SFC. Developed the Compliance/Regulatory team including hiring, engagement, coaching and development. Provided strategic leadership developing a highly motivated and proactive team. Member of Valuation and Best Execution Committees. Provided guidance to senior management on various compliance, trading and business issues across jurisdictions. Worked with front office on new strategic business initiatives to ensure regulatory compliance and implementation of appropriate risk controls; managed and coordinated the launch of new hedge funds, private equity funds, real estate funds and CLO's. Supervise annual compliance review and related testing required under Rule 206(4)-7 of the Investment Advisers Act; identify risk items and gaps in policies and procedures and develop specific remediation plans including first and second line controls, monitoring and testing. Designed comprehensive, automated trading surveillance program to address both regulatory and investor mandated restrictions. Rolled out to Global offices after successful implementation in US. Developed and implemented a comprehensive training program and related materials for all employees, including insider trading, FCPA/AML, trading issues, investor relations, and code of ethics, among others. Show less



Myles Financial

• Managing Director

  • Jan 2007 - Apr 2011

  Advised senior management on business and operational issues for a boutique merchant bank/asset manager. Worked with founding partners to outline the firm's strategic vision. Led efforts to assess current state of firm structure and create a book of work with milestones for an organizational realignment to meet the firms vision. Demonstrated leadership in execution of firms strategic initiative to increase operational effeciences, standardize and streamlined business processes and implement best practices. Show less



Libertas Partners

• Financial Services
• 1 - 100 Employee

• Managing Director

  • Sep 2006 - Jan 2007

  Marketed and sold firm’s research and customized strategies to institutional portfolio managers and analysts generating trade activity with Tier 1 accounts: hedge funds, mutual funds, and insurance companies. Hosted road shows with management bringing new deals and one-off private transactions to institutional clients and qualified investors Identified total return opportunities across the capital structure related to; market inefficiencies, developing market conditions, or changes in investment opinion. Carried out detailed analysis of investment ideas and recommended various strategies to clients creating alpha while managing beta. Sales covered High Yield, Distressed, Emerging Markets, Convertibles, CDS , PIPE’s and Equities Show less



MacKay Shields LLC

• United States
• Investment Management
• 100 - 200 Employee

• Director

  • Oct 2001 - Sep 2006

  Fixed Income Trader for $7 billion managed in Mutual Funds, Separate Institutional Accounts and General Account. As back-up Portfolio Manager, I managed the Money Mark Fund positions (approx. $500 million) adding incremental returns from re-allocation of Assets. Managed $200 million in FX positions and hedges to manage currency exposure in global portfolios. Monitored corporate and agency bond markets for Relative Value opportunities versus portfolio holdings. Managed changes in Portfolios including duration and weightings to keep within model portfolio parameters. Worked with Investor Services to meet clients informational needs and queries for firm's fixed income products. Produced Quarterly Attribution reports explaining impact on Portfolio; comparing to model portfolio performance and recommending changes to decrease tracking error versus index. Project lead for transition from EZE Castle OMS to Charles River with a focus on ensuring a robust back-end compliance function. Show less



NYSE

• Financial Services
• 700 & Above Employee

• Member of the New York Stock Exchange,

  • Jun 1991 - Dec 1999

  Member of the NYSE, executing client equity orders in the world’s largest outcry auction market. Assisted in the design and development of first wireless securities trading system on the NYSE. Executed the first wireless trade on the NYSE, transforming the floor and giving clients live representation at point of sale through a paperless format. Proved the utility and reliability of the wireless trading system in the most actively traded stocks (IBM, MU). Member of the NYSE, executing client equity orders in the world’s largest outcry auction market. Assisted in the design and development of first wireless securities trading system on the NYSE. Executed the first wireless trade on the NYSE, transforming the floor and giving clients live representation at point of sale through a paperless format. Proved the utility and reliability of the wireless trading system in the most actively traded stocks (IBM, MU).