Experience

DoubleLine

• United States
• Financial Services
• 100 - 200 Employee

• Compliance Analyst

  • Jan 2015 - Present



Nuveen, a TIAA company

• United States
• Financial Services
• 700 & Above Employee

• Compliance Analyst

  • 2011 - Jan 2015

  Greater Los Angeles Area



Capital Group

• United States
• Financial Services
• 700 & Above Employee

• Associate Vice President

  • Apr 2008 - Jul 2010

  Analyst for set-up, characteristic maintenance, and tracking of over 18,000 equity companies. Analyzed data from 5 vendors to create the permanent record to publish to downstream applications and marketing material. - Coordinated the day to day operations for a staff of 6, including the London office. Responsible for cross training associates and completing the training for business recovery and continuity ahead of schedule. - Designed department metrics that led to the identification of… Show more Analyst for set-up, characteristic maintenance, and tracking of over 18,000 equity companies. Analyzed data from 5 vendors to create the permanent record to publish to downstream applications and marketing material. - Coordinated the day to day operations for a staff of 6, including the London office. Responsible for cross training associates and completing the training for business recovery and continuity ahead of schedule. - Designed department metrics that led to the identification of the top 10 risk areas, facilitated monthly forums to create transparency to oversight groups, reducing the number of issues by 25% from the previous year. - Managed the tracking, escalation, and reporting of exceptions and issues for over 50 associates in the London, east and west coast offices and communicated escalated issues and resolutions to oversight groups. - Managed internal compliance testing for the regulatory requirements for the US Securities and Exchange Commission. Wrote tests specifications performed annually, presented results to external auditors and finished audits ahead of schedule each year. - Shaped and self-tested over 100 policies and procedures, organized and imported procedures into a real-time dedicated database for associates to access in 3 different offices.

• Associate Vice President, Fixed Income Operations

  • Apr 2004 - Apr 2008

  Project manager that prioritized and provided strategic leadership for 3 operational teams. Collaborated with managers which led to increased efficiency in workflows, controls, and procedures. - Reviewed business requirements and created recommendations for process flow changes to remove redundancies. Tracked that policies and procedures were adhered to for 6 teams, by preparing monthly audits that identified high risk exceptions and proposed risk mitigants for presentation to oversight… Show more Project manager that prioritized and provided strategic leadership for 3 operational teams. Collaborated with managers which led to increased efficiency in workflows, controls, and procedures. - Reviewed business requirements and created recommendations for process flow changes to remove redundancies. Tracked that policies and procedures were adhered to for 6 teams, by preparing monthly audits that identified high risk exceptions and proposed risk mitigants for presentation to oversight committees. - Led global effort to write business specifications to allow Interest Rate Swaps to process in over 20 systems. The effort included industry best practices, designing the business requirements, creating over 400 test scenarios, authoring procedures and training 50 associates in 4 offices. - Conducted annual visits to the east coast to meet with vendors, investment managers and banks to track industry initiatives, trends, and product development, recommended vendor solutions to department managers to increase operational efficiencies. - Interfaced daily with portfolio managers, traders, lawyers, technology groups, banks, vendors, and other investment companies to incorporate best market practices and industry initiatives within the company.

• Manager, Fixed Income Operations

  • Dec 1999 - Apr 2004

  Los Angeles, California, United States Manager of the trade processing and settlement team that included associates in Los Angeles and London. Trade volumes increased 50% each year and assets to 85 billion, maintaining the same number of associates in the team for over 4 years by restructuring processes and automating the process flow. - Managed day to day trade processing and settlements operations, supervised a staff of 8, integrated a cross training plan to continue developing associates and to manage business continuity and… Show more Manager of the trade processing and settlement team that included associates in Los Angeles and London. Trade volumes increased 50% each year and assets to 85 billion, maintaining the same number of associates in the team for over 4 years by restructuring processes and automating the process flow. - Managed day to day trade processing and settlements operations, supervised a staff of 8, integrated a cross training plan to continue developing associates and to manage business continuity and recovery. The plans were effective for the 9/11 recovery. Developed business metrics to reflect growth, trade volume, issues, and associate performance. - Directly responsible for training, evaluating associate performance and developing a broad knowledge of functions within the team. Worked with department manager to introduce staff recognition to reduce turnover. - Designed and rolled out automation for trade confirmation and communication, tightened existing procedures, instilled a quality control mindset, trade volumes doubled while keeping the same number of associates. - Participated in authoring 2 global industry white papers with Bond Market Association and SWIFT to automate the electronic communication between investment managers and banks, which eliminated manual fax and replaced it with secure, real time communication for asset back and pair off transactions.



Capital Group

• United States
• Financial Services
• 700 & Above Employee

• Associate, Geneva Switzerland

  • Feb 1998 - May 1999

  Created an internship opportunity by marketing my expertise in fixed income assets. Resided in Switzerland for 15 months and 1 month in England. Managed projects to align the Swiss office process flow with North America. - Participated in 3 internships with the accounting, corporate action, and equity settlement teams, to develop and organize procedures for each team. Taught monthly fixed income topics to 550 Swiss associates. - Designed and rolled out a reimbursement and claims database… Show more Created an internship opportunity by marketing my expertise in fixed income assets. Resided in Switzerland for 15 months and 1 month in England. Managed projects to align the Swiss office process flow with North America. - Participated in 3 internships with the accounting, corporate action, and equity settlement teams, to develop and organize procedures for each team. Taught monthly fixed income topics to 550 Swiss associates. - Designed and rolled out a reimbursement and claims database for the accounting group to track and manage account claims for 480 accounts. The new process responded and closed out account claims within 30 days and eliminated 500,000 dollars of the original claims. - Met with the European custody banks to create dedicated customer service teams for our accounts and to shape communication processes.

• Associate

  • Oct 1994 - Feb 1998