Compliance Officer

Compliance Associate / Generalist

**** - ****

Contact

Education & Internships

949-***-****

Phone

ad01lw@r.postjobfree.com

Email

Costa Mesa, CA

Location

Diego V. Blake

S e n i o r C o m p l i a n c e P r o f e s s i o n a l Diego is a seasoned Compliance Officer with extensive experience in the investment management industry. Over the past 12 years, Diego has played a crucial role in rebuilding and redesigning institutional compliance programs. He has a deep understanding of the Investment Advisers Act of 1940 and the associated rules. Diego's compliance expertise encompasses a wide range of responsibilities, including testing, monitoring, Code of Ethics, trade surveillance, policy drafting, training, system implementation, investment guideline monitoring, annual reviews, mock audits/exams and regulatory filings. His comprehensive skill set makes him a valuable asset to any organization seeking to enhance its compliance framework. Experience

Coordinated with the Accounting, Operations and Technology divisions to generate data relating to periodic regulations, including Form PF, CPO PQR, CTA PR, 13F, Form Ds and 13H. Drafted and conducted new hire compliance training; improved firm records by implementing robust processes around new hires and terminated employees. Managed regulatory, reputational and compliance risks through periodic AML reviews, drafting State Lobbyist filings, and reviewing requests from investment professionals to conduct meetings with consultants via third-party expert network providers. 2017 - 2019

2013 - 2017

Citadel, LLC l New York, NY

Carlson Capital l New York, NY

Gresham Investment Management, LLC & Gresham Asia l New York, NY Civic Engagements

Siena College

Albany, NY

Selfridges & Co.

London, UK

Commercial Finance Internship

2011 - Spring

2009 - Fall

Regulatory Reporting

Data Analysis

Project Management

Trade Surveillance

Risk Assessments

Business Continuity

Planning

Code of Ethics

SEC & CFTC Filings

Expertise & Skills

2009 - Summer

Summer Analyst - Global Compliance

New York, NY

2010 - Summer

Summer Analyst - Global Compliance

New York, NY

Goldman Sachs

Goldman Sachs

Tripled the number of quarterly research vendor due diligence reviews conducted in less than two months after the formation of the new department. Conducted over 200 due diligence reviews of global third-party research providers. Designed the Research Provider Risk Matrix to assess and rank research vendors by appropriate risk levels; drafted and implemented relevant policies and procedures. Reviewed over 300 requests from investment professionals to conduct conversations with third- party experts/consultants.

Mitigated regulatory, compliance and financial risks by conducting due diligence on over 200 sensitive meetings.

Reviewed third-party data, surveys and requests to join data rooms for sensitive, confidential and/or non-public information before providing access to investment professionals. Research & Data Vendor Compliance (second employee on the newly formed team) Advisory Compliance Officer (contract):

Licenses (Past)

Managed the implementation of the firm's first centralized investment guideline monitoring and management system.

Automated the firm's compliance workflow around investment guidelines, rule logic, testing, auditing and records management via the Charles River Compliance Module. Assisted with the implementation of various systems and platforms to improve record keeping and transparency around electronic communications, Code of Ethics requirements and marketing materials.

Promoted in 2015 to VP of Singapore Compliance; managed the firm’s registration process wit the Monetary Authority iof Singapore.

Compliance Officer & Vice President of Singapore Compliance 2011 - 2013

Goldman Sachs l New York, NY

Compliance Analyst

Monitored hundreds of employee personal investment account transactions in options, equities, bonds and structured notes to ensure thresholds were below firm requirements. Assisted with compliance risk assessment tests, drafting policies and procedures and tracking alerts in the compliance issue management system.

2017 - Present - Hope Committee, Help for Children (HFC) 2022 - 2023 - Citadel - Thrive Scholar Mentor

2022 - Citadel Participant - JP Morgan Corporate Challenge 2013 - 2017 - Board Member, Franciscan Community Center 2011 - 2012 - Goldman Sachs - Community Team Works Participant Automating Processes

Bloomberg

Microsoft Office (Word,

Excel, PowerPoint,

Outlook)

Vendor Management

Compliance Testing

Cross Functional

Collaboration

Series 7 (FINRA) - Inactive

Series 30 (NFA) - Inactive

Real Estate License Professional - Inactive

Bachelors of Science, Finance

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