Manager Management
Resume:
Title:Kenneth Marlin
*******@*******.***
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Name: Kenneth Marlin
Address:
City: Plainview
State: NY
Zip/Postal Code: 11803
Country:
E-mail: *******@*******.***
Primary Phone: 516-***-****
Background
Most Recent Job Title: Chief Compliance Officer
Most Recent Employer: Ivy Asset Management LLC
Career Level:
Availability or Timeframe: Immediately
Authorized to work in the US: Yes
Security Clearance:
Do you have transportation: Yes
Over 18: Yes
Education:
Languages Spoken: English
Job Preferences
Desired Salary: Open
Willing to Relocate:
Desired Job Titles:
Desired Job Types:
Work Status: Full Time
Desired Shifts:
Desired Travel: 10%
Category: Accounting, General Management and Administration, Legal
Company Size:
Company Type:
Industry:
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Copyright c 1997- Lee Hecht Harrison, Inc.
KENNETH R. MARLIN
15 Newport Drive
Plainview, New York 11803
*******@*******.***
SUMMARY
Experienced Chief Compliance Officer and senior executive possessing expertise with
respect to compliance, regulatory,
and operational matters. Team player who is organized, thorough, and assertive. Committed
to ensuring sound
operational risk management and a strong compliance culture in an evolving regulatory
landscape. Skilled at achieving an
optimal balance between compliance requirements and business solutions.
Highlights Include:
Compliance: Diverse experience including the Investment Advisers Act of 1940, the
Investment Company Act of 1940
( ICA ), the Bank Holding Company Act, ERISA, the Securities Acts of 1933 and 1934, and
the C ommodity Exchange
Act. Experienced with SEC Registered Investment Adviser compliance and SEC audits.
Management: Started the Legal and Compliance Department which included recruiting,
managing and developing
compliance professionals as well as attorneys. Directed the Legal and Compliance
Department as assets under
management and the number of proprietary funds grew from $1.5 billion and 7 funds in 1998
to a peak of $17 billion and
75 funds, respectively.
Industry Presence: Involved in industry best practices development through leadership
roles with the Managed Funds
Association ( MFA ), the Alternative Investment Management Association ( AIMA ), and the
International Organization
of Securities Commissions ( IOSCO ).
PROFESSIONAL EXPERIENCE
BNY MELLON / IVY ASSET MANAGEMENT, Jericho, NY
Managing Director, Chief Compliance Officer
20042010
Director, Chief Compliance Officer
Senior executive responsible for managing Ivy s Compliance Program. Trusted advisor and
partner with senior
management through an open dialogue with all levels of employees. Educated the firm s
employees to ensure
compliance with applicable laws and regulations. Maintained an effective presence with
regulators and auditors.
Selected Accomplishments
Designed the Compliance Program including the annual review and the annual report.
Automated the review of employee personal trading to create operational efficiencies.
Developed and administered compliance training on both a formal and informal basis.
Coordinated the FINRA licensing process for Ivy s salespeople under BNY Mellon s Broker
Dealer.
Developed a risk assessment model and methodology to manage operational risks.
Created policies including trade allocation, investor redemption, and investor
contribution.
Managed the due diligence process for potential acquisitions.
Conducted internal investigations of errors to identify root causes and recommend
corrective measures.
Established a peer group of competitor firm CCO s that meets monthly to discuss
compliance topics.
Appointed CCO for Ivy s first Registered Fund operated pursuant to the ICA.
Global Risk Management Committee Chairman; established the Pricing Committee, the
Product Advisory
Committee, and the Capacity Allocation Review Group.
Represented Ivy in industry organizations and the creation of best practices:
o MFA Funds of Funds Advisory Committee founding member
o AIMA Guide to Sound Practices for Funds of Hedge Funds Managers (Steering Committee
participant)
o IOSCO Principles for the Valuation of Hedge Fund Portfolios (Working Group
contributor)
KENNETH R. MARLIN
Director, Contracts & Compliance 2001 2004
Vice President, Contracts & Compliance
Manager, Contracts & Compliance
Increased the firm s focus on compliance during a period of strong growth, geographic
expansion, and accelerated
product development. Gained regulatory approval from the U.K. FSA, hired Ivy s first non-
U.S. compliance officer,
and created appropriate policies for the London business. Hired and managed Ivy s first
team of lawyers to support
the growth of the business.
Selected Accomplishments
Designed an AML program that was highly respected by The Bank of New York s AML Team.
Managed the deregistration of Ivy s funds from CFTC regulation that ultimately led to
Ivy s withdrawal as a
CPO and CTA.
Worked with counsel to conduct an audit of ERISA agreements, to amend contracts
thereby reducing risk to
Ivy and to create a manual dedicated to ERISA compliance for funds of funds.
Established a formal process for the review of marketing materials.
Established an Irish regulated fund of funds and served as one of its initial board
members.
Manager, Compliance & Financial Reporting 1998 2001
Manager, Financial Controls
Hired to be Ivy s first dedicated compliance officer. Enhanced Ivy s compliance function
through revisions to the
Compliance Manual and by creating new policies. Worked with counsel to establish and
operate private funds of
funds (including preparing and updating offering materials). Prepared and negotiated
business agreements.
Selected Accomplishments
Managed an SEC examination and several CFTC/NFA examinations.
Conducted various financial analysis used to facilitate the sale of Ivy to The Bank of
New York.
Created and maintained monthly P&L reporting.
Coordinated office design, office furnishings, and lease negotiations.
LEHMAN BROTHERS INC
., New York, NY 19921998Assistant Vice President, External Financial Reporting and Analysis
Manager, International Consolidation
MANUFACTURERS HANOVER TRUST/CHEMICAL BANK, New York, NY 19901992
Assistant Controller, Special Projects and Accounting Policy Advisory
ARTHUR ANDERSEN & CO
., New York, NY 19871990
Senior, Audit and Business Advisory Services
EDUCATION
BS,
Accounting, University at Albany (SUNY), Albany, NY
Professional Certifications
Certified Public Accountant (CPA) - inactive
AFFILIATIONS
American Institute of Certified Public Accountants
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