Career Summary: Compliance Officer with significant experience in Investment Management in a team atmosphere with proven, analytical ability, Portfolio Compliance, written and oral communication skills.
Fidelity Investments, with Veritude, Risk Advisor April 2017- December 2017
Compliance review and testing for the annual 38a-1 program within the FPCMS Company.
Treliant Risk Advisers, Independent Adviser January 2015 – February 2018
Compliance review of all policies and procedures for FX trading floor activities within a global banking environment.
This included, Conflict of interest, Code of Ethics, Employee trading, Anti-Bribery, Gifts and Entertainment.
Identify weaknesses in a summarized report for management.
Recommend remediation based on current regulatory changes on a global basis.
Compliance review of all policies and procedures for LIBOR/Euribor trading floor activities within a global banking environment as part of a two year monitor-ship.
Boston Technologies Inc., Chief Compliance Officer
FX trading software and Prime Brokerage companies December 2012 –October 2014
Experience with sophisticated customers globally in both a regulated and unregulated market. This position requires interaction at all levels of management as well as external legal and regulatory contact.
Establishment of a robust compliance program for a small company moving into a more regulated derivatives environment with manuals, contract management, record retention and training of all staff.
Responsible for interpretation and integration of EMIR and MIFID rules under UK regulated Prime Broker.
Reporting all control function reports for CF10, CF10a and CF11 to FCA on monthly, quarterly and annual basis.
Responsible for growing the business into new areas of Asia, South America and Eastern Europe by providing efficient execution of marketing material reviews and new client paperwork.
Enforcement of compliance policies and procedures and review of conflicts of interest, AML and KYC.
Deployment of compliance cybersecurity software for global on-boarding.
Establishment of Cyber security modelling together with Technology team.
State Street Bank and Trust Company, Contract work, Boston, MA May 2012 – November 2012
Responsible for implementation of Dodd-Frank within Global Markets. Acted as project manager to represent FX trading
interests along with resources needed, in IT development and training of new requirements of Dodd-Frank.
Commonwealth Financial Network, Contract work, Waltham, MA March 2012- May 2012
Facilitation of a Compliance Broker Communication Project. This was a review of 90,000 broker emails for possible conflict
of interest with clients.
TD Bank Contract work, Portland, ME April 2011 – July 2011
Initiation of appropriate written training procedures for Loan Accounting incorporating risk control procedures.
State Street Bank and Trust Company, Boston, MA, SSGM, Vice-President Compliance Manager
December 2006 – December 2010
Responsibility assumed for the compliance of the e-Exchange (FX Trading) trading business including Global Link and
Currenex business products.
Facilitation of through internal and external audits, initiation of Anti-Money Laundering procedures and Know-Your-Customer programs and procedures.
Privatization of client data and contracts and established procedures adhering to the State Street Corporate Information Security, Business Continuity and regulatory requirements.
Establishment of Core compliance procedures and training for monitoring and reporting to corporate Code of Ethics, AML and KYC dashboard.
Develop, deploy and enforcement of compliance policies and procedures from the bank to Currenex, an FX trading platform.
Meet with clients on Due Diligent visits.
Assist Business Unit with internal Audits preparation and findings.
Prudential Companies January 2002 – October 2005
Dryden Wealth Management Ltd. Branch Manager Orientation Trainer - Hong Kong July 2005 – October 2005
Assistance given for transition of newly appointed Branch Manager with compliance, systems and management issues on both local and international exchange requirements, Anti-Money Laundering procedures and training.
Responsible for Privacy procedures in multiple Asian jurisdictions.
Establishment of a Marketing Review policy for Southeast Asia jurisdictions.
Bache Financial Ltd. Branch Manager – Frankfurt March 2004 – June 2005
Leadership of integration team between Prudential and purchasing firm.
Prepared training and marketing material with internal and external sources following both US and German regulations.
Management of the day-to-day sales and operations based on US Investment Advisers Act.
Controller of Anti-Money laundering and KYC procedures and training.
Analysis of target market investment portfolios to keep in line with risk and regulations.
Management of local customer proxy voting to corporate office.
Prudential Bache International Ltd. Assistant Branch Manager – Germany January 2002 – March 2004
Management of projects and training on compliance and regulatory issues including Patriot Act.
Responsible for review of new accounts opening, complaints, marketing documents and employee trading activities.
Preparation and completion of the required annual German and US internal & external audit.
Working closely with Big 4 audit firm to organize smooth information and procedures examination and sign-off.
Leadership role to implement and train Corporate Code of Ethics policy and Conflict of Interest in all German offices.
Attend to alerts on German portfolio mandates meeting both US and German regulatory requirements.
Management of the day to day requirements of US Investment Advisers rules and 38a-1 and 206(4)-7.
Train all staff on new product, procedures and annual AML requirements.
Donaldson, Lufkin & Jenrette International/Credit Suisse First Boston Director of Operations – Frankfurt
May 2000 –July 2001
Establishment of retail direct on-line business, Sales and Service.
Responsibility for hiring and training staff for Germany (DLJdirect).
Setting guidelines for Business Conduct as well as Code of Ethics and Conflicts of Interest between staff and clients.
Development of procedures, guidelines, set up accounting and compliance such as AML and KYC requirements
Negotiation with external service vendors for trading, investment funds, financial feed suppliers and administrative services.
April 1998 – April 2000 American Express Bank GmbH, Head of Sales, Frankfurt, Germany, March 1998 – April 2000
Management of Call Center training and development, inbound and outbound sales and service.
Team oriented effort in mutual fund growth to increase sales by 250% in 2 years.
Key Leadership role in creation of Custom investment portfolios for AMEX (European Market) to sell managed by State Street Global Advisors and manage the division mandates for these funds.
Early career positions at Fidelity Investments in Boston and Luxembourg, working in Customer Service and Training; Flemings International in Luxembourg and Frankfurt as well as Quotron GmbH, a Citibank company in Frankfurt.
1976 – 1980 University of Rochester, Rochester NY
BA in German and Psychology, Certificate of Linguistics
1987 – 1990 Expanded knowledge of business administration through intensive course work at Harvard University
Computer Skills Microsoft Office suite, Lotus Notes, Outlook, Axentis TR-Worldcheck
Licences Financial Industry Regulatory Authority (FINRA), Washington D.C. USA
Series 6 Investment Co. & Var contr prod. Rep 1982,
Series 63 Uniform state law Exam, 1982
Series 7 General Securities Rep. Exam 1983,
Series 8 Sales Sup. & Branch Manager Exam 1986
Series 24 General Securities Principal Exam 2001,
Series 3 National Commodity Futures Exam 2002
Series 65 Investment Advisor Law Exam 2003
Member ACAMS FINRA Dispute Resolution Arbitrator