Investment Adviser Certified Compliance Professional with 10+ years of experience in performing and overseeing compliance functions in the investment advisory space with working knowledge of rules and regulations under the Investment Advisers Act, Investment Company Act and UCITs.
JENNISON ASSOCIATES, New York, NY August 2013 – January 2019
Senior Compliance Analyst
Performed investment guideline surveillance and restriction coding, for sub-advised mutual funds and UCITs, institutional portfolios, hedge funds and trusts, including daily evaluation of exception reports, pre- and post-trade compliance and transactional forensic testing. Constant communication with the traders, portfolio managers, client service and operation personnel to ensure that the investment objectives and restrictions for the respective portfolio are being followed.
Guideline negotiation, interpretation and implementation. Review of client documents including IMAs, policy statements and fund documentation.
Daily and quarterly forensic testing targeted to identify transactions not in line with regulations or policies and procedures, including MNPI.
Policies and procedures: review and updates, as required.
Enterprise, over the wall and grey list restrictions maintenance.
Request For Proposal (“RFP”), NSAR, DDQs and 15c.
Reporting for Institutional, UCIT and sub-advised business, including Soft Dollars reporting.
Soft Dollars: Evaluation of new and existing relationships for 28(e) eligibility; active member of the internal Soft Dollar Group comprised of representatives from finance, legal, compliance and investment services; client soft dollar reporting.
Subject matter expert for Expert Network related oversight, including vendor due diligence reviews of Expert Network firms’ policies and procedures, quarterly forensic testing on expert network calls, chaperoning calls and performing follow-ups as required; training of new investment professionals and re-training as needed.
Principal contact for oversight of Political Intelligence firms. Created a risk-based approach to the monitoring and due diligence process surrounding PI firms. Firm adoption of the PI vendor oversight procedure for 2018.
New business product development: UCITs.
LORD ABBETT & CO, LLC, Jersey City, NJ October 2005 – August 2013
Senior Compliance Associate
Investment guideline and restriction surveillance and coding for proprietary Mutual Funds, Sub-advised Funds, and Institutional accounts across all disciplines, including coding, evaluating exception reports and pre- and post-trade compliance.
Policy and procedure reviews in accordance with Rule 38a-1 of the Investment Company Act, and Rule 206(4)-7 of the Investment Advisers Act, including recommendations on improving current processes.
Development, mentoring and training of new compliance employees.
RFP and 15c requests.
Review of trade blotters for fair and equitable treatment of each account (including IPO allocations).
Annual SHCA and TIC SLT filings for the FRB.
Collaborated with Technology in implementing various forensic testing modules, for identification of trading inconsistent with regulations and policies and procedures, such as Window Dressing, 12b-1, and Portfolio Pumping.
Worked daily with Technology, Data Integrity and Trading Personnel with regards to security and compliance rules and violation issues.
WACHOVIA SECURITIES, New York, NY March 2003 – October 2005
Client relations and service, including account opening, order entry and account maintenance.
Implemented a new system following up on outstanding issues.
Equity and options trading via Reuters and Bloomberg for the municipal portion of the business.
Worked closely with executive services and trading on 10B - 18 purchases.
HUNTER MECHANICAL, New York, NY March 2002 – March 2003
LADENBURG THALMAN (GBI CAPITAL PARTNERS), New York, NY March 2001 – September 2001
New Account opening in retail branch
Account maintenance, including new account documentation completion.
Baruch College, Zicklin School of Business, New York
Master of Business Administration (2008)
Finance and Investments
Rutgers University, Rutgers College, New Jersey
Bachelor of Arts (1999)
FINRA Licenses: 7, 63, 9, 10 (65 expired 08/2016)
Windows, Microsoft Office, ITG Extended Investment Platform Rule Expert (“XIP”), Bloomberg, Thomson Reuters, BOSS 3000, Peachtree, COMET (proprietary compliance system), Line Data Compliance module, LVTS trading platform.
Foreign Language Proficiency: Croatian – native speaker