Management Manager

valerie lewis

Email: *********@********.***

Address: *** ******* ******

City: marina del rey

State: CA

Zip: 90292

Country: USA

Phone: 310-***-****

Skill Level: Director

Salary Range: $150,000

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

VALERIE Y. LEWIS

TEL: 310-***-**** * E-MAIL *********@********.***

909 DICKSON STREET * MARINA DEL REY, CA 90292 USA

COMPLIANCE MANAGEMENT

Over 15 years of investment adviser and mutual fund compliance experience. Strong knowledge and application of the Investment Advisers Act and Investment Company Act. Repeatedly successful meeting diverse challenges related to regulatory environment, institutional client/board relations, and business implementation. Combine compliance and operations knowledge with integrity to effectively balance needs of clients, independent mutual fund board members and management.

PROFESSIONAL EXPERIENCE/ACCOMPLISHMENTS

City National Bank, Beverly Hills, CA 2005 - 2011

Vice President and Chief Compliance Officer

Administer compliance programs for City National Asset Management, Inc. and CNI Charter Funds, its proprietary institutional mutual funds with $6B in assets. Develop and enforce written policies and procedures governing activities of investment adviser and proprietary mutual funds, including manager-of-manager funds. Primary contact for operational management of the funds. Responsible for board meetings, regulatory filings, internal audits, and regulatory examinations.

* Perform risk assessment of compliance programs; initiated extensive enhancements to adviser's policies and procedures resulting in clear controls to mitigate risks

* Conduct quarterly and annual compliance reviews and report results to management and mutual fund board

* Coordinate compliance activities with bank compliance department resulting in enterprise-wide enhancements

* Monitor personal transactions compliance; develop and propose amendments to personal trading policies, and provide training

* Serve as Anti-Money Laundering Compliance Officer and Identity Theft Prevention Officer for mutual funds

* Serve on various enterprise risk management (ERM) committees resulting in vertical integration of risk metrics

The Capital Group Companies, Inc., Los Angeles, CA 1999 - 2005

Fund Boards Specialist - Assistant Secretary

Served as Assistant Secretary to a $16B institutional emerging markets mutual fund and two retail income mutual funds each with assets in excess of $30B. Managed corporate governance and compliance reporting.

* Developed and implemented procedures relating to Non-Resident Alien compliance with U.S. tax withholding requirements

* Drafted board meeting agendas, resolutions, minutes and Section 15c annual contract renewal responses

* Monitored and reviewed regulatory compliance requirements and filings with the SEC

* Managed compliance for Capital Guardian Trust Company sub-advised clients, such as affiliated transactions, personal securities transactions, and illiquid securities reporting

Morgan Stanley Asset Management, Inc., New York, NY 1990 - 1999

Vice President and Corporate Secretary - Proprietary Mutual Funds

Served as corporate secretary of proprietary mutual funds during growth in the U.S. and off-shore fund assets from $1.3B in 1990 to approximately $20B in 1999. Responsible for all board reporting requirements,

Valerie Y. Lewis Page 2 of 2

board relations, investor relations, and special projects for 14 closed-end funds and five open-end and offshore funds comprising 66 portfolios.

* Drafted board meeting agendas, resolutions, minutes and Section 15c annual contract renewal responses

* Assisted in implementation of business initiatives, such as rights offerings for international and emerging market equity and fixed income funds

* Consolidated 17 boards to three boards governing three complexes of mutual funds resulting in a decreased number of board meetings and consistent communication of common issues among funds

* Coordinated prospectus creation and production resulting in standardized prospectus disclosure for asset classes across all retail and institutional funds; managed branding project to meet -plain English- prospectus requirements for -wrap- products

Citigroup, New York, NY 1987 - 1989

Paralegal - Office of the General Counsel - Securities and Funding

Provided paralegal and managerial support for corporate funding transactions in Citibank's Treasury and Funding, and Master Note Funding Program through Guaranteed Investment Contracts

* Played a key role in increasing Treasury and Funding Unit's revenue from $618M in 1987 to $1.2B in funded transactions in 1988, resulting in average annual revenue of approximately $3.5M

* Instituted monthly budget reconciliation process through the implementation of a specially designed software program developed with an outside consultant resulting in approximately $87K in reimbursable expenses over 12 months

* Filed shelf registrations and assisted legal counsel in preparing closing documentation for collateralized debt securities

* Extensive interaction with investment community, outside counsel, underwriters and affiliates

EDUCATION

Claremont Graduate University (EMBA), Claremont, CA 2005

Focus on management, finance and investments; fully employed, part-time student.

Tufts University (BFA), Medford, MA 1981

Focus on applied arts; freelance graphic designer and illustrator from 1981-1987.

VOLUNTEER AND PROFESSIONAL AFFILIATIONS

Speaker, NICSA (2011)

Member, ICI CCO Committee

Certified Member, National Society of Compliance Professionals (NSCP)

Member, NSCP Job Analysis Task Force

Graduate (2001), Riordon Volunteer Leadership Development Program, Class 22

Fund-raiser (grant recipient, 2004) and investor, The Hunger Project

Women's Investment Management Forum, former member

ICI Directors` Study Advisory Committee, former member

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