Chief Compliance Officer

• May 2019 - Present

• Provide strategic direction to the management team on compliance matters. • Identify and document regulatory risks. • Ensure that the organization complies with existing and developing federal and state laws and regulations. • Develop firmwide policies and procedures. • Design and enhance appropriate surveillance systems to monitor investment advisory activities. • Conduct and/or coordinate on-going education/training sessions for employees on appropriate Compliance-related… Show more • Provide strategic direction to the management team on compliance matters. • Identify and document regulatory risks. • Ensure that the organization complies with existing and developing federal and state laws and regulations. • Develop firmwide policies and procedures. • Design and enhance appropriate surveillance systems to monitor investment advisory activities. • Conduct and/or coordinate on-going education/training sessions for employees on appropriate Compliance-related subjects. • Chair DuPont Capital Management’s Fiduciary Committee; member of various committees (Fair Valuation, Counterparty, Business Risk Management, Business, and Cybersecurity). • Liaise with legal and regulatory bodies on compliance-related issues. • Responsible for establishing and setting the tone of compliance throughout the organization.

Head of Compliance for the Investment Adviser - Broker Dealer CCO

• Dec 2013 - May 2019

• Prepare timely and accurate regulatory filings, including but not limited to Form ADV, Form PF and Form BD. • Maintain DuPont Capital’s on-line Compliance Manual and DCMM’s Written Supervisory Procedures. • Conduct annual Rule 206(4)-7 reviews of DCM policies and procedures and document such reviews. • Ensure that DCMM meets the regulatory requirements of FINRA, including AML, CRD filings and continuing education. • Review advertising materials, including RFPs, client… Show more • Prepare timely and accurate regulatory filings, including but not limited to Form ADV, Form PF and Form BD. • Maintain DuPont Capital’s on-line Compliance Manual and DCMM’s Written Supervisory Procedures. • Conduct annual Rule 206(4)-7 reviews of DCM policies and procedures and document such reviews. • Ensure that DCMM meets the regulatory requirements of FINRA, including AML, CRD filings and continuing education. • Review advertising materials, including RFPs, client presentations and new business presentations. • Chair DuPont Capital Management’s Fiduciary Committee; member of various committees (Fair Valuation, Counterparty, Business Risk Management, and Fiduciary). • Manage all activities associated with DuPont Capital’s personal trading policy and procedures. • Oversee the firm’s email retention policies and procedures, including reviewing emails that meet certain criteria. • Lead efforts associated with regulatory examinations/audits (FINRA, SEC, DOL, etc.). • Participate in key industry trade associations, committees, working groups, and maintain collaborative relationships with relevant regulators, including the SEC and FINRA. • Conduct and/or coordinate on-going education/training sessions for employees on appropriate Compliance-related subjects.

Compliance Manager

• Jun 2013 - Dec 2013

• Supervise investment guideline trade monitoring staff. • Oversee the initial set-up, implementation, and monitoring of new client investment guidelines. • Continuously drive improvements in the firm’s understanding and use of the compliance system’s functionality, including reporting, to best meet the firm’s business needs. • Work with IT to evaluate data feeds between Sentinel and other data provider systems used to monitor client guidelines, e.g., transmission feeds between… Show more • Supervise investment guideline trade monitoring staff. • Oversee the initial set-up, implementation, and monitoring of new client investment guidelines. • Continuously drive improvements in the firm’s understanding and use of the compliance system’s functionality, including reporting, to best meet the firm’s business needs. • Work with IT to evaluate data feeds between Sentinel and other data provider systems used to monitor client guidelines, e.g., transmission feeds between Linedata, FactSet, Bloomberg, Pace, etc. • Provide advice around the coding of regulatory / guideline restrictions to the business when required, interacting with fund managers and front office staff at all levels. • Ad-hoc project involvement for new instruments, markets, system changes and product launches.

Senior Compliance Officer

• Dec 2011 - Jun 2013

• Oversaw trade surveillance and investment guideline monitoring program using Charles River as the primary tool. • Tracked regulatory changes and coordinated projects to track progress of implementing regulation through to completion. • Completed questionnaire and reviewed periodic mutual fund questionnaires, client due diligence requests and related matters both independently and in conjunction with other departments. • Reviewed and developed compliance policies and procedures to… Show more • Oversaw trade surveillance and investment guideline monitoring program using Charles River as the primary tool. • Tracked regulatory changes and coordinated projects to track progress of implementing regulation through to completion. • Completed questionnaire and reviewed periodic mutual fund questionnaires, client due diligence requests and related matters both independently and in conjunction with other departments. • Reviewed and developed compliance policies and procedures to demonstrate that the firm has appropriate internal controls. • Performed specialized compliance exams based on regulatory requirements, firm policies, contractual obligations, and risk factors. • Assisted in the oversight of the compliance program of Aberdeen’s US divisions, including oversight of Investment Advisor, Registered Funds and Broker Dealer. • Drafted educational primers on various topics to assist management (Reg. S., Cross Trades etc.). Show less • Oversaw trade surveillance and investment guideline monitoring program using Charles River as the primary tool. • Tracked regulatory changes and coordinated projects to track progress of implementing regulation through to completion. • Completed questionnaire and reviewed periodic mutual fund questionnaires, client due diligence requests and related matters both independently and in conjunction with other departments. • Reviewed and developed compliance policies and procedures to… Show more • Oversaw trade surveillance and investment guideline monitoring program using Charles River as the primary tool. • Tracked regulatory changes and coordinated projects to track progress of implementing regulation through to completion. • Completed questionnaire and reviewed periodic mutual fund questionnaires, client due diligence requests and related matters both independently and in conjunction with other departments. • Reviewed and developed compliance policies and procedures to demonstrate that the firm has appropriate internal controls. • Performed specialized compliance exams based on regulatory requirements, firm policies, contractual obligations, and risk factors. • Assisted in the oversight of the compliance program of Aberdeen’s US divisions, including oversight of Investment Advisor, Registered Funds and Broker Dealer. • Drafted educational primers on various topics to assist management (Reg. S., Cross Trades etc.). Show less

Compliance Officer

• Jan 2009 - Nov 2011

• Worked with both internal and external business units to support system implementations, enhancements to existing systems and development of new systems. • Oversaw firm’s trade investment guideline monitoring process. • Identified opportunities and implemented related solutions to reduce risks and improve efficiencies. • Developed and implemented new policies and procedures needed for the changing regulatory landscape. • Reviewed client mandates, including advisory contracts… Show more • Worked with both internal and external business units to support system implementations, enhancements to existing systems and development of new systems. • Oversaw firm’s trade investment guideline monitoring process. • Identified opportunities and implemented related solutions to reduce risks and improve efficiencies. • Developed and implemented new policies and procedures needed for the changing regulatory landscape. • Reviewed client mandates, including advisory contracts, prospectuses, and statements of additional information. • Reviewed questionnaires, policies and other related forms provided by the companies sub advisors and service providers as part of the due diligence process. • Assisted investment management personnel with day-to-day compliance advice and interpretation. • Conducted training sessions for employees on compliance-related subjects. • Supported compliance business continuity planning efforts through the coordination and maintenance of plan updates, the communication of changes and the support of testing. • Assisted CCO with projects and initiatives associated with new business lines, SEC requests, mergers of new or existing businesses and other ad hoc requests. Show less • Worked with both internal and external business units to support system implementations, enhancements to existing systems and development of new systems. • Oversaw firm’s trade investment guideline monitoring process. • Identified opportunities and implemented related solutions to reduce risks and improve efficiencies. • Developed and implemented new policies and procedures needed for the changing regulatory landscape. • Reviewed client mandates, including advisory contracts… Show more • Worked with both internal and external business units to support system implementations, enhancements to existing systems and development of new systems. • Oversaw firm’s trade investment guideline monitoring process. • Identified opportunities and implemented related solutions to reduce risks and improve efficiencies. • Developed and implemented new policies and procedures needed for the changing regulatory landscape. • Reviewed client mandates, including advisory contracts, prospectuses, and statements of additional information. • Reviewed questionnaires, policies and other related forms provided by the companies sub advisors and service providers as part of the due diligence process. • Assisted investment management personnel with day-to-day compliance advice and interpretation. • Conducted training sessions for employees on compliance-related subjects. • Supported compliance business continuity planning efforts through the coordination and maintenance of plan updates, the communication of changes and the support of testing. • Assisted CCO with projects and initiatives associated with new business lines, SEC requests, mergers of new or existing businesses and other ad hoc requests. Show less

Senior Compliance Officer

• Sep 2005 - Dec 2008

• Performed in-depth Compliance review for all alternative investments including, Hedge Funds, Fund of Hedge Funds, Private Equity, Managed Futures, Real Estate, Exchange Funds, Equity Structured Products, Exchange Funds and Structured Fixed Income products. • Reviewed pre-product launch documentation including subscription documents, fact cards, product program, internal training documents and client facing marketing and advertising material. • Drafted and implemented several… Show more • Performed in-depth Compliance review for all alternative investments including, Hedge Funds, Fund of Hedge Funds, Private Equity, Managed Futures, Real Estate, Exchange Funds, Equity Structured Products, Exchange Funds and Structured Fixed Income products. • Reviewed pre-product launch documentation including subscription documents, fact cards, product program, internal training documents and client facing marketing and advertising material. • Drafted and implemented several Alternative Investment Unit procedures including, New Product Reviews, ERISA Structured Product Review, Client Suitability Review and Short-Term Trading Review. Show less • Performed in-depth Compliance review for all alternative investments including, Hedge Funds, Fund of Hedge Funds, Private Equity, Managed Futures, Real Estate, Exchange Funds, Equity Structured Products, Exchange Funds and Structured Fixed Income products. • Reviewed pre-product launch documentation including subscription documents, fact cards, product program, internal training documents and client facing marketing and advertising material. • Drafted and implemented several… Show more • Performed in-depth Compliance review for all alternative investments including, Hedge Funds, Fund of Hedge Funds, Private Equity, Managed Futures, Real Estate, Exchange Funds, Equity Structured Products, Exchange Funds and Structured Fixed Income products. • Reviewed pre-product launch documentation including subscription documents, fact cards, product program, internal training documents and client facing marketing and advertising material. • Drafted and implemented several Alternative Investment Unit procedures including, New Product Reviews, ERISA Structured Product Review, Client Suitability Review and Short-Term Trading Review. Show less

Alternative Investments Middle Office- Associate

• May 2004 - Sep 2005

• Managed the books on all Derivative trades for the Alternative Investments and Structured Liabilities. • Monitored covenants to make sure clients were meeting the requirements in accordance with the ISDA agreements. • Managed the books on all Derivative trades for the Alternative Investments and Structured Liabilities. • Monitored covenants to make sure clients were meeting the requirements in accordance with the ISDA agreements.

MBS Investigations

• 2001 - 2002