Legal and Compliance

Arden L . D ion

*****.****@*****.*** ( 570-*-**-****

Education a nd L icenses

License a nd S core: S eries 7 B AT: 7 9th p ercentile, 5 10/800 Susquehanna U niversity: B S i n F inance August 2 010- D ecember 2 013 GPA: 3 .4/4.0 F inance G PA: 3 .78/4.0

Relevant c oursework: B usiness S tatistics, M acroeconomics, F inancial A ccounting, M arketing, M icroeconomics, D atabase S ystems Analysis, Q uantitative M ethods f or B usiness, B usiness E thics, L egal E nvironment, O perations M anagement, M anagement Organizational B ehavior, C orporate F inance, C ost M anagement, F inancial S tatement A nalysis, M anagement S upport S ystems. A pplied Investment M anagement, B usiness P olicy a nd S trategy, I nvestment A nalysis, I nternational T rade a nd F inance Experience

Dynasty F inancial P artners, L LC September 2 015 - P resent AVP, L egal a nd C ompliance

• Responsible f or t he o ngoing d evelopment a nd i mplementation o f f irm p olicies a nd p rocedures, w ith a s pecial f ocus o n i nvestment platform t hird p arty m anager a nd r esource p artner d ue d iligence

• Created a R esource P artner D ue D iligence P ackage, t o b e u sed t o s upplement c lients’ i nternal d ue d iligence p rocesses

• Assists w ith a nnual c ompliance r eview, s tatement/trade r eview, r egulatory f ilings i ncluding F orm A DV, a nd r elated a nalysis

• Responsible f or e mail a nd s ocial m edia r eview, a s w ell a s t he r eview a nd a pproval o f a ll m arketing a nd a dvertising m aterials

• Responsible f or d rafting a nd i nitial r eview o f a ll c lient a nd t hird p arty r esource p artner a greements

• Performs l egal r esearch a nd d rafting f or G eneral C ounsel, i ncluding t he d rafting a nd r evision o f t he f irms O perating A greement

• Responsible f or c reating c lient d irected c ompliance c ontent a nd n ewsletters

• Works d irectly w ith c lients t o t ailor t emplate c ompliance d ocuments t o t he c lient’s n eeds

• Represents t he L egal a nd C ompliance d epartments o n t he i nternal I nvestment a nd T hird P arty M anager A cceptance C ommittees, addressing l egal a nd c ompliance i ssues a s n eeded Associate, L egal a nd C ompliance

• Developed i nternal, c lient, a nd t hird p arty r esource p artner a greement t emplates

• Developed f irm-wide g uidance f or o rganizing a nd p ricing s ervices t o s erve a s t he s tarting p oint f or c lient a greement n egotiations

• Revised f irm’s B usiness C ontinuity P lan, i ncluding t he d evelopment o f a f irm-wide e mergency r esponse p lan a nd c ustomized testing o f t he s ame

• Assisted i n d eveloping a nd i mplementing a n e ducational m entor p rogram f or j unior a ssociates

• Assisted t he G eneral C ounsel a nd C CO i n t he c ompletion o f a S EC E xam, i ncluding t he d rafting a nd p reparation o f f ormal response l etters a nd c orresponding d ocuments Merrill L ynch W ealth M anagement January 2 014- S eptember 2 015 Client A ssociate

• Worked t o b uild, m aintain, a nd s trengthen b usiness r elationships w ith e stablished, n ew, a nd p rospective c lients

• Provided d aily o perational s upport t o t he t eam a nd i ts c lients, w ith a pproximately $ 665 m illion i n a ssets u nder m anagement

• Responsible f or g eneral c lient a ccount m aintenance a nd a dministrative s upport, i ncluding c lient a sset m ovement

• Prepared d etailed p ortfolio r eviews f or c lient a nd p rospect m eetings

• Maintained e levated l evel o f c ustomer s ervice w hile c atering t o t he n eeds a nd r equests o f t he t eam’s c lients Intern

• Completed e xtensive r esearch r eports f or m anaging d irector o n a v ariety o f t opics i ncluding s ummer a nalyst r ecruiting s trategies and c ommunity o utreach p rojects

• Assisted m anagement t eam w ith d aily a dministrative t asks

• Gained i nsight i nto h ow f inancial a dvisors b uild, m aintain a nd c ustomize t heir b ook o f b usiness

• Attended m eetings a nd s eminars, i ncluding w eekly m anagement u pdates, f inancial a dvisor, t rainee m eetings, a nd c lient a ssociate meetings, w itnessing f irst h and t he d ay t o d ay r esponsibilities o f t he m anagement s uite Susquehanna U niversity August 2 013- D ecember 2 013 Corporate F inance T utor

• A ssisted s tudents w ith t est p reparation, c oursework, p rojects a nd o verall c omprehension o f c ourse m aterial Student A dvisor a nd T eaching A ssistant

• P rovided p eer-to-peer a cademic g uidance a nd m entorship t o u nderclassmen Research A ssistant, P rofessor S hana D ardan November 2 012- M ay 2 013

• A ssisted i n t he r esearch o f v arious p rojects i ncluding t he d evelopment o f d ata s ecurity t echnology f or h ealthcare f acilities a nd emergency r esponse s ervices. K ept d etailed r ecord o f a ll c ompleted a nd o ngoing r esearch

• R esponsible f or t he c ollection, o rganization a nd e valuation o f p roject m aterials a nd d ata Others S kills: S alesForce, B ox, M icrosoft O ffice T ools ( Excel, W ord, P roject, P owerPoint), F luent i n S panish Interests: L atin l iterature a nd c ulture, c ooking, a rchitecture a nd d esign

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