Experience

Fiera Capital

• Canada
• Financial Services
• 400 - 500 Employee

• Senior Compliance Associate

  • Mar 2020 - Present



Cohen & Steers

• United States
• Financial Services
• 300 - 400 Employee

• Associate Director, Portfolio Compliance

  • Nov 2018 - Nov 2019



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Director, Equity Compliance

  • May 2016 - Nov 2018

  • Demonstrated complete understanding of 1940 Act (Open-end, Closed-end and Sub-Advised), ERISA (including CIT’s), FINRA, and UCITS regulations. • Reviewed new products and initiatives, and assessed compliance risk to support MSIM New Product Approval and New Instrument Approval processes. • Evaluated and enhanced processes for MSIM Equity Compliance and MSIM Equity Portfolio Surveillance Group; Provided requested information for SSAE and all other internal audit requests. • Supported Investment Risk activities by ensuring rules were interpreted and coded correctly with Sentinel system; partnered with coding team to test efficiency of coded rules. • Steered weekly team meetings and streamlined communication with Portfolio Management Teams and Trading desk for portfolio launches, regulatory updates, and other initiatives. • Performed ad hoc reviews of Initial Public Offerings (IPOs), providing expert guideline and regulatory perspective on client account eligibility. Show less



Prudential Financial

• United States
• Financial Services
• 700 & Above Employee

• Senior Compliance Analyst/Associate Manager

  • Apr 2011 - Apr 2016

  Propelled pre- / post-trade monitoring of portfolio guidelines, and managed equity portfolio risks across business by testing, tracking, and developing analytical data within structured models and optimizers. Identified areas and processes for improvement across multiple aspects of the business; devised, tested, and implemented new standard operating procedures (SOPs) and enhancements to boost data accuracy and timeliness of delivery: • Made key contributions to project development enhancements of Prudential’s Personal Trading surveillance system.• Coordinated interviews and facilitated document collection for 206 (4)(7) audit review.• Assessed client guidelines and presented quantitative risk metric requirements for Investment Management Agreements to Managing Directors and Client Service Representatives in business unit• Prepared wide range of periodic reports, ad hoc requests, and due diligence certifications; confirmed risk metrics were compliant with client guidelines. Collaborated across business units on delivery of documentation to senior management oversight committees.• Developed effective training content and coordinated logistics for new hire, annual, and specialized compliance training Show less

• Senior Investments Operations Analyst

  • Apr 2008 - Apr 2011

   Supplied performance analysis of equity and fixed income products using numerous market data services including Lipper, Morningstar, Bloomberg, Ibbotson, and Hindsight Provided performance of financial markets for sales and marketing campaigns Responsible for conducting various weekly, monthly, and quarterly performance reports for institutional, equity, and fixed income funds  Supported sales and marketing groups throughout production of data and analysis needed for fund digests, shareholder letters, sales brochures, advertising campaigns, institutional sales material, as well as the Prudential website Produced numerous ad hoc requests from all levels of Prudential Investment Management (PIM) Prudential Real Estate Investment (PREI), Retirement Services, and Individual Life/Annuities, including senior management Provided exceptional service to numerous internal business units by partnering with associates throughout the company Maintained and improved processes utilizing Excel macros and visual basics Developed and maintained operational procedures and trained staff members on all performance reports Show less