Chief Compliance Officer

CAROLINE M CONNOLLY

** ******** ****** *** ***, Boston, MA 02118 H: 617-***-**** *************@*****.***

SUMMARY

Fund Administration professional with extensive experience in the financial services industry. Flexible and versatile to changing and evolving business policies and control procedures. Ability to manage priorities and deadlines. Excellent team building skills. Provide support to other Fund Administration business units; Legal, Tax, Compliance and Treasury Services.

EXPERIENCE

05/2007 to 05/2019

State Street Bank & Trust Boston, MA

Fund Administration Director, Assistant Vice President

Managed all aspects of financial reporting from new regulations, overseeing production cycles and relationships with clients, auditors, shared service teams and centers of excellence teams to ensure that requests are being met and that clients are satisfied with the level of service.

Oversaw planning, coordination, preparation and reviews of annual and quarterly financial statements and SEC regulatory filings.

Maintained a leadership role by developing internal relationships with key players in other departments to accomplish goals and resolve issues.

Trained the offshore team members on client specific policies and ensured they followed all standard operating procedures and completed the appropriate checklists.

Assisted in the conversion of financial statements onto a new reporting system with typesetting functionality and focused on the automation of manual processes to mitigate risk of misstatement.

Served as Assistant Treasurer of the State Street Institutional Investment Trust, State Street Master Funds, State Street Navigator Securities Lending Trust, SSGA Funds, The China Fund, Inc. and the Holland Balanced Fund.

Budgeted, analyzed and authorized expenses for multiple Trusts and clients.

Oversaw and delivered reporting of statistical and performance data to fund management.

Coached and mentored staff to achieve goals for future development and promotion.

Participated in the CPA Pilot Program, Training Needs Committee, Money Market Working Group, Volunteer Program and the Mentoring Program.

04/2005 to 04/2007

Eaton Vance Management Boston, MA

Senior Compliance Specialist, Assistant Vice President

Assisted Chief Compliance Officer in reviewing EV Fund Service Providers' compliance with established policies and procedures.

Assisted various EV internal departments and EV subsidiaries in preparing and updating compliance procedures and controls.

Conducted periodic compliance procedure training for EV personnel.

Prepared compliance-related reports to EV Fund Board and EV Senior Management.

10/2002 to 04/2005

Investors Bank & Trust Company Boston, MA

Reporting & Compliance, Mutual Fund Administration

Manager 12/2003 to 04/2005

Supervisor 10/2002 to 12/2003

Reviewed and analyzed daily Prospectus/SAI compliance testing, quarterly IRS testing, monthly performance and total return calculations, quarterly board reporting, semi-annual financial reporting, SEC filings, annual expense budgeting and quarterly expense analysis.

Prepared compliance testing matrices for the launch of new funds and assisted the systems group in the creation of unique compliance tests resulting from the launch of a new fund or a Prospectus/SAI update.

Contributed to the automation of the detail testing that is manually intensive.

Established and documented control procedures of various client deliverables.

Developed and maintained strong working relationship with clients.

09/1998 to 10/2002

PricewaterhouseCoopers LLP Boston, MA

Investment Management Assurance and Business Advisory

Senior Associate 06/2000 to 10/2002

Associate 09/1998 to 06/2000

Reviewed workpapers and financial statements and coordinated partner and manager review.

Supervised and evaluated over 30 associates providing coaching on investment management, insurance, employee benefit plans, and corporate audit clients.

Assessed accounting and control related issues and presented recommendations to management.

Performed detail testing on the internal controls of various service providers.

Established strong working relationship with clients' management to plan and perform the audit.

EDUCATION AND TRAINING

05/1998

Bachelor of Business Administration: Accounting

University of Massachusetts Amherst, MA

SKILLS

Solid ability to organize and prioritize work to ensure full completion of the role

Strong work ethic and self-starter, able to effectively manage multiple priorities and adapt to change within a fast-paced business environment

Polished interpersonal, written, and oral communication skills

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