Customer Service Sales
Resume:
KATHLEEN B. ROMAN
Berwyn, PA ****2
*****@*******.*** 610-
CHIEF COMPLIANCE OFFICER / RISK MANAGER
Highly experienced Financial Services Professional with a record of
achievement assuring regulatory compliance and mitigating risk for
financial services leader Valley Forge Capital Advisors. Early career
success as a top producer and financial advisor for Merrill Lynch.
An Investment Advisor Certified Compliance Specialist (IACCP) and member of
the National Society of Compliance Professionals as well as the
Philadelphia Compliance Round Table. A featured presenter at compliance
seminars and webinars for National Regulatory Services and Investment
Adviser Watch.
Well versed and up to date on all SEC regulatory changes and knowledgeable
on their impact upon the organization and its employees.
CORE COMPETENCIES
Regulatory Compliance . Risk Management . Internal Controls . Expense
Control . Project Management
Team Leadership & Motivation . Training & Development . Product Marketing .
Needs Assessment Presentations . Customer Service . Client Relations .
Workflow Streamlining
PROFESSIONAL EXPERIENCE
Valley Forge Capital Advisors, Inc., Malvern, PA 2004 -
Present
An SEC registered investment adviser providing discretionary asset
management services to clients, pension and profit sharing plans and state
or municipal government entities. VFCA provides separate account
management through the use of a proprietary quantitative model.
Chief Compliance Officer, VP
Orchestrate development, administration and testing of the firm's
compliance policies and procedures in accordance with the Investment
Advisers Act of 1940. Ensure firm-wide compliance with its Code of Ethics,
including policies regarding personal trading, gifts and entertainment,
political contributions, and outside business activities. Direct and
closely monitor compliance testing focused on improving firm policies
regarding brokerage, soft dollars, best execution, allocation, insider
trading, and all brokerage compliance matters.
Serve as the voice and the face of the organization in SEC required annual
compliance reviews as well as in all associated regulatory compliance
matters while closely liaising with regulators, auditors, clients and third
party service providers.
Personally vet all marketing and advertising to ensure its accuracy and
compliance with all applicable regulatory requirements. Spearhead the
execution of GIPS and all performance reporting including disparity
testing. Direct the efforts of 4 operations employees tasked with providing
trade entry, portfolio reconciliation, client and custodian reporting, data
base maintenance, contract review, proxy voting and corporation actions,
13f and all regulatory filings, as well as bookkeeping functions.
. Set the foundation for continued improvement in compliance and risk
management.
o Developed a strong compliance program, brokerage and operations system
as well as H/R policies and guidelines.
KATHLEEN B. ROMAN PAGE TWO
Valley Forge Capital Advisors, Inc (continued)
. Set new benchmarks for superior team performance
o Personally led the firm through 2 successful SEC exams.
o Guided the firm through a fund adoption by a large nationally
recognized mutual fund organization.
CAREER NOTES
Early career success in the Financial Services industry as a Financial
Advisor with Merrill Lynch, one of the world's leading financial management
and advisory companies. Developed and managed a large book of individual
and corporate clients. Promoted strategic investments in stocks, bonds,
mutual funds, options, annuities, and limited partnerships aligned with the
investment objectives of the client.
. Set new records for personal best in sales production while achieving
notoriety as a top cold caller and sales closer.
. Achieved recognition as the firm's subject matter expert on annuities.
Served as the office insurance and annuity coordinator. Led the office in
annuity sales production for 3 years running.
EDUCATION
Studies in Business Administration at Union County College, Cranford, NJ
Continuing studies in Financial Management at Immaculata University,
Malvern, PA
AFFILIATIONS
NAFE (National Association of Female Executives)
League of Women Voters.
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