Vice President Asset Management

ALEX GRINBERG ****.**********@*****.***

*** **** ******, ********* ** 07626 Tel. 917-***-****

EMPLOYMENT HISTORY AND WORK EXPERIENCE

JPMorgan Asset Management April 2023- Current Vice President Compliance Lead - New York, USA

Provide compliance advice, guidance, and support to the Asset Management business, including mutual funds, exchange-traded funds, and sub-advisory accounts.

Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.

Partner with the line of business, Risk, Audit, Legal and Control partners to monitor, implement and test that sound compliance programs are in place.

Ensure appropriate handling of Material Non-Public Information and the administration of the Restricted List

Product Support: New Launches, restructures, liquidations, mergers, new sleeves, seed to soft launches, new share classes, new markets and any other U.S. Mutual Fund item that is product related.

Develop and perform reviews designed to effectively monitor the activities conducted by the Alternatives business groups.

J.P. Morgan Mutual Funds and Exchange Traded Fund Annual Policy Review.

Support sub-advisory business (in which a J.P. Morgan investment adviser manages a third-party fund), represent compliance at client due diligence meetings.

Collaborate with central compliance functions, including Trade Surveillance, Anti-Corruption, Personal Account Dealing Compliance on matters and escalations related to the Alternatives businesses.

Perform periodic monitoring activities on activity in funds and accounts.

Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.

Sumitomo Mitsui Banking Corporation Group (SMBC) April 2022- March 2023

Vice President, SMBC's Compliance Department Americas- New York, USA

Reviewed and followed up on a variety of trade surveillance alerts and exception reports covering wide range of risks and products (equities, fixed income, FX).

Performed market abuse and insider trading investigations utilizing market data and trade data records.

Engaged relevant stakeholders to ensure a holistic response to possible detected risk.

Created and/or maintained procedures as directed.

Stayed up-to-date of current regulatory issues and rule changes.

Worked with a variety of groups, including, but not limited to: Compliance Advisors, Front Office, Operations, IT, and Legal.

Contributed strategic surveillance initiatives.

BMO Global Asset Management (BMO GAM) December 2019 – March 2022

Senior Manager, Business Unit Compliance and Control – Chicago, IL

Managed and provided guidance and supervision to four direct reports

Interacted daily with portfolio managers, client relationship managers and traders, as well as other members of Compliance, Legal, and Settlements.

Researched current and end of day compliance trade alerts, and violations, and escalate all issues to management.

Reviewed new and existing account prospectus, SAI, and guidelines to apply rules and coding in Bloomberg AIM compliance monitoring system.

Built independent team that collaborates across functional and operating groups to create the highest level for all stakeholders.

Prepared and briefed senior leaders on regulatory matters across multiple businesses/groups.

Reviewed and documented EOD portfolio compliance results to identify any active or passive compliance breaches.

Managed and supported large complex risk programs/frameworks/initiatives to ensure risks are mitigated and regulations adhered to.

Recommended adjustments to the overall program, policy or processes within the business/group in accordance with the Risk Appetite Statement, Governance and Corporate Policy.

HSBC Global Asset Management (USA) Inc. July 2017- October 2019

AVP/ Senior Investment Restrictions Associate-New York, USA

Implemented coding and ensure adherence to investment guidelines within the Liquidity and Emerging

Market Fixed Income universe.

Communicated guideline/trading issues to individuals across the company including Portfolio Management, Trading, Operations, Legal and Client Services.

Reviewed materials to support the firm's written investment guideline compliance certifications to clients.

Performed daily intra-day pre-trade compliance monitoring, including analyzing and approving trades with Bloomberg Violations Manager.

Utilized Bloomberg to screen client account specifications by using the VMGR function to monitor real time trading.

Created Bloomberg rules using the CMGR function to ensure control framework is tailored to each client’s unique investment guidelines and objectives

Compliance Monitoring for Fixed Income Investment Management team against current policy and procedures, and investment guidelines including daily use of CMGR and VMGR.

TimesSquare Capital Management, LLC April 2006-July 2017 Compliance and Trade Operations Specialist– New York, USA

Performed pre and post trade compliance checks against each client's guidelines.

Supported and maintained trading activity utilizing trading system with, OMGEO, OASYS and DTC.

Assisted Traders and Portfolio Managers in use of McGregor/XIP/Longview/Linedata Compliance trading systems.

Caxton Associates (Hedge Fund) Jan 2000- May 2005

Traders Assistant- New York, USA

Provided operations support for traders, confirmed trades with clients.

Researched and resolved discrepancies, performed settlements.

Performed P & L transactions, monitored margin requirements of clients.

EDUCATION

BARUCH COLLEGE - ZICKLIN BUSINESS SCHOOL- B.B.A. - 2002

Major: Finance and Investments; Minor: Economics

KEY SKILLS

Strong knowledge of Bloomberg AIM Compliance System (CMGR, VMGR), Longview trading/Linedata Compliance systems

COMPUTER SKILLS: SharePoint, Reuters, Bloomberg, Microsoft Office, Internet, Outlook

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