John F. Robbins, CFA

203-***-****

acz9a6@r.postjobfree.com

A Chartered Financial Analyst with a background in compliance and risk management and more than 19 years of experience partnering with the business to proactively manage regulatory, compliance and operational risk for global and domestic investment firms. Built enterprise wide compliance, risk and internal control programs for some of the most well established investment advisers, insurance, and fund management complexes in the world. Engineered multi-jurisdictional product, investment, and client management compliance program elements. Board and leadership communication, global regulatory knowledge, risk and testing tools, personnel management and problem-solving skills. Specialties include:

Developing programs to meet fiduciary, ethics and compliance standards across investment organizations

Institutional, trust, insurance, retail, private and alternative fund investment products experience

Advisers Act, Company Act, and Fiduciary regulatory knowledge, SEC, OCC, DOL, States

Global sales and distribution compliance, Anti-Corruption, FCPA, AML oversight and implementation

SEC Advisor, Fund, FINRA, and OCC exam management and regulator communication leadership

Fixed Income, Derivative and Equity investment, trading, and operational risk practices

Six Sigma quality and risk tools process improvement and project leadership

Implementing compliance controls, due diligence and risk management lines of defense

Work Experience

M&T Bank, New York, NY, Wilm., DE 3/2013 – 4/2017

SVP/ Chief Compliance Officer

Brought in as the Chief Compliance Officer for the asset management a businesses, including serving as CCO for the three SEC registered investment advisers. Responsibilities included supporting the integration of Wilmington Trust to M&T Bank covering Asset Management, Broker Dealer, and Investment Advisory, overseeing all aspects of the compliance management program. Oversight includes advisory and fiduciary investment, distribution, asset management, and private equity/ debt and funds compliance, ensuring business controls and compliance policies and procedures meet applicable laws and industry standards.

-Utilized Six Sigma and Precision Leadership tools to revise compliance and risk management standards for the RIAs, driving clearer accountability while building collaborative teams for proactive risk management.

-Developed a unique and highly rated Conflicts of Interest risk management program integrating SEC, OCC and DOL requirements into a sustainable and coordinated process across business lines.

-Revamped policies, governance and surveillance programs enhancing issue identification and escalation, measurably improving relevant SEC (Fund/ RIA), FRB (MOECA) and OCC examination results.

-Upgraded executive and board communication through innovative compliance risk assessments (206(4)-7) and risk driven dashboards, strengthening understanding and remediation of key issues.

-Established seamless compliance shared service functions improving risk management of core activities.

BlackRock, New York, NY 9/2011 – 12/2011

Managing Director/Head of Compliance – Americas

Recruited to a newly created regional role managing 50 compliance professionals, incorporating all aspects of the investment advisory asset management, trading, banking, and broker/dealer compliance oversight program with a new initiative to consolidate existing compliance functions in place, after the acquisition of Barclays and Merrill Lynch investment management, trust and banking businesses. With significant operations in Canada, South America and the US, responsibilities included ensuring the integration of seamless risk and compliance controls and resources to meet new business integration requirements.

-Coordinated senior legal and compliance groups to re-align compliance teams and activities, improving risk management solutions for extensive Dodd-Frank regulatory changes impacting the advisers.

John F. Robbins – Page 2

-Developed business group roundtables, strengthening support and participation of leadership to meet regulatory and industry compliance monitoring and reporting requirements.

-Implemented a Six Sigma driven management dashboard improving compliance resource assessments and allocation of responsibilities

Despite strong original interest for the regional framework initiative, leadership determined the regional role wasn’t viable and I resigned to pursue roles more suited to my experience and background. The Head of Compliance-Americas role was not replaced.

Babson Capital Management, LLC, New York, NY; Boston, MA 4/2009 – 9/2011

Managing Director /Global Head of Compliance/ Head of Organizational Risk

Brought as CCO for the Registered Investment Advisers and in to support the company’s globalization efforts and restructure the compliance and risk program to oversee recent and pending acquisitions in the US, UK, Australia and Hong Kong. Managed a team of 15 and developed a comprehensive enterprise operational risk management program integrated with a multi-national compliance infrastructure.

-Developed an innovative operational risk and compliance program coordinated with investment risk to meet SEC regulatory requirements, streamlining issue identification and remediation globally.

-Built enhanced global surveillance and monitoring for seamless account and trade reporting for portfolio and third party investment managers and institutional brokers.

-Strengthened compliance and operational risk oversight by establishing collaborative first and second line of defense teams to better monitor sales practice, fund issuance and investment distribution activities.

-Leveraged Charles River and risk analytic systems to improve portfolio compliance and risk management covering extensive alternative fixed income, equities and quantitative investment and trading strategies.

The continued financial crises significantly impacted Babson’s commitment to their global expansion initiatives. I was recruited to pursue a newly created position with BlackRock and the Babson Global Head of Compliance and Risk role was not replaced.

AIG Investments, New York, NY 5/2008 – 4/2009

Managing Director/Global Head of Compliance

Responsible for the global investment management compliance program, including a team of over 80 compliance resources, covering 46 offices in 35 countries and $750B in traditional equities, fixed income, alternative, real estate, hedge fund, insurance, and institutional accounts.

-Initiated a strategic review and redevelopment of the compliance infrastructure to strengthen surveillance, AML, and transaction monitoring globally.

-Reorganized and streamlined the global compliance reporting and regulatory communication program strengthening coordination across business, risk and compliance teams.

-As AIG Investments was identified for sale upon acquisition by the US government, I participated with senior leadership on the sale preparation, including coordination and communication with over 75 global investment and insurance regulators.

As primary suitors were identified for AIG investments purchase, many global control leadership functions, including compliance, were redundant post sale. I was recruited by Babson Capital as Global CCO.

Deutsche Asset Management, Inc., New York, NY 7/2005 – 5/2008

Managing Director/Chief Compliance Officer- DB Advisers

As Regional Head of Compliance, and CCO for the US registered investment advisers, I was responsible for all aspects of the investment adviser’s institutional and insurance asset management and retail mutual and private fund compliance program, covering the US investment advisers and broker/ dealer functions totaling $570B in aum. I was subsequently promoted to Global Head of Institutional Compliance.

John F. Robbins – Page 3

-Managed a team of over 40 global compliance professionals in setting and implementing the infrastructure to support asset management, insurance, mutual fund, and multi-country sales activities.

-Revamped and strengthened the regulatory exam management process to improve communication to examiners and response time while covering a 7 month enterprise wide SEC exam of the DB RIAs.

-Leveraged Six Sigma and risk management tools developing coordinated monitoring and reporting processes, strengthening exam oversight and communication with FINRA, SEC and global regulators.

GE Asset Management/ GE Financial Assurance, Stamford, CT 11/1999 – 7/2005

Vice President/ Chief Compliance Officer – GE Asset Management, Inc. (RIA)

Chief Compliance Officer – GE Investment Distributors, Inc. (B/D)

Hired to oversee all investment and fund compliance for GE’s 13 insurance companies included those in Japan and Europe. Developed a team of 20 compliance professionals covering the Registered Investment Adviser, Funds, and Insurance companies.

-Built a new and comprehensive compliance program in coordination with existing corporate risk requirements to cover $175B in fixed Income and alternative securities.

-Promoted to CCO for GE’s Adviser, broker dealers and mutual fund complex, I utilized Six Sigma risk management tools to significantly enhance the compliance program, implementing new guideline monitoring, trading surveillance and a comprehensive 38a-1 and 206(4)-7 risk assessment program.

Pacific Capital Consulting, Inc., Seattle, WA 6/1991 – 11/1999

Chief Compliance and Operations Officer

Served as COO and CCO for the SEC registered investment advisor and developed and led all compliance activities, operations, systems, and policies and procedures oversight. Directly supervised sales activities and coordinated compliance supervision with investment advisory regulations and developed performance measurement procedures in compliance with GIPS mandates. Successfully coordinated and led several SEC RIA and FINRA related exams.

AMEV Financial Group/ DFC, Los Angeles, CA 9/1989 - 6/1991

Compliance and Branch Manager

Now Fortis, AMEV/ DFC maintained branch offices (OSJs) throughout the country. Hired after college, I sold securities until promoted to Branch Manager and relocated to Seattle, WA. As manager, I provided compliance supervision and sales training, leading a team of 20 sales people.

Education

Association for Investment Management and Research (CFA Institute)

Chartered Financial Analyst (CFA) Conferred 1997

Occidental College, Los Angeles, CA Graduated 1989, Conferred 1997

B.A. Philosophy, Emphasis - Business Ethics

Accreditation

FINRA Licensed Series 6, 7, 26, 24, 4, 63, 65 PLI & NSCP Faculty Member

Chartered Financial Analyst 1997 CFA Institute – DRC 2003-2008

Arbitrator and Case Review for the Seattle NASD (FINRA) District office

NYSE Continuing Education Committee Member –Western Region

Professional memberships

CFA Institute National Investment Company Services

National Society of Compliance Professionals BISA Regulatory Committee

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