Compliance Professional

JEFFREY D. RUBIN

** ****** **** ***** **********, MA 01907 617-***-****(C) 781-***-****(H) ewphi6@r.postjobfree.com

SUMMARY

Senior compliance professional with 12 years experience in the Financial Services Industry focusing on regulatory compliance and risk management with responsibility for the design, implementation, application and monitoring of compliance policies and procedures for asset and wealth management organizations. Independent worker with

strong skills in project management, interpersonal relations and communication.

Areas of concentration include:

• Investment Advisers Act of 1940 • Code of Ethics

• Investment Company Act of 1940 • ERISA

• Audit Examinations, including SAS70 • AML/KYC

EXPERIENCE

REGULATORY COMPLIANCE, LLC, Londonderry, NH November 2009–March 2010

IA Compliance Analyst

Provided consulting services on a senior level, supporting 52 registered investment adviser firms with varied sizes and investment platforms.

• Managed Investment Adviser Consulting Department

• Assisted new Investment Adviser firms with initial registrations

• Filed Forms ADV Parts I and II and other required filings on Web IARD/CRD systems on behalf of clients

• Reviewed and customized clients’ compliance manuals

• Provided compliance guidance and support to clients and Regulatory Compliance staff

• Wrote client newsletter articles on relevant compliance topics to keep clients updated on regulatory changes

AGF ASSET MANAGEMENT, Boston, MA May 2009–June 2009

Compliance Contract Assignment through Robert Half Management Resources

Reviewed corporate policies and procedures and all compliance documents for this Canadian based company, creating new documents for their newly registered U.S. Investment Adviser, ensuring they were compliant under the Investment Adviser Act of 1940, the Investment Company Act of 1940 and other applicable rules and regulations.

STATE STREET CORPORATION, Boston, MA March 2007-January 2009

Compliance Analyst, Assistant Vice President

Provided sound and proactive compliance oversight in support of the Securities Finance (SF) Division.

• Ensured employee compliance with the Securities Finance Code of Ethics and Personal Investment Policy.

• Monitored and reconciled all SF employee personal trading activity through the StarCompliance system and developed monthly compliance reports for management review.

• Coordinated review of the 2008 Securities Finance Code of Ethics and Personal Investment Policy and the recertification of both by all SF employees globally.

• Coordinated all internal and external audits for Securities Finance, including Global Control (SAS70), CCO, Federal Reserve audits and exams.

• Identified applicable laws and regulations and associated internal controls under the Monitoring and Testing Program’s Risk Assessment project.

• Coordinated 2008 SF annual procedures review in accordance with corporate standards.

BINGHAM LEGG ADVISERS, LLC, Boston, MA February 2006–March 2007

Compliance Officer

Implemented and managed compliance programs for this Private Wealth Management Company. Built an effective working relationship with management to create a culture of compliance within the firm.

• Created quarterly compliance reports for the board of directors ensuring firm-wide compliance. Reported directly to CEO/President of firm.

• Developed and updated firm’s written compliance policies and procedures under SEC Rule 206(4)-7 and conducted annual compliance review.

• Administered the firm’s Code of Ethics, including pre-clearance and reconciliation of employee personal trades.

• Monitored portfolio compliance with client guidelines and internal restrictions.

• Prepared and submitted required SEC filings and updates to Form ADV Parts I and II.

• Reviewed marketing materials and client presentations to ensure proper disclosures were provided.

• Administered compliance training and continuing education for employees.

PUTNAM INVESTMENTS, Boston, MA November 2001-February 2006

Senior Compliance Analyst (July 2002- February 2006)

Developed and implemented an effective compliance program for each Separately Managed Account (SMA) sponsor to apply to all client accounts. Developed and managed Bank Loan Compliance Program.

• Conducted suitability reviews on all new SMA accounts ensuring investment product was appropriate for clients and all internal and regulatory requirements were met.

• Worked with investment professionals and legal/compliance team in review and revision of new client account investment guidelines and policies as part of the new account acceptance process.

• Coded all client and internal investment restrictions for SMA on various sponsor compliance systems to effectively monitor account activity and prevent compliance violations.

• Drafted policies and procedures for newly developed Bank Loans compliance program to prevent violation of insider trading regulations by investment professionals.

Compliance Specialist (November 2001-July 2002)

Ensured that the Investment Compliance intranet site housing investment guideline summaries for mutual funds and institutional accounts was accurate and up to date.

• Reviewed and interpreted mutual fund and institutional client guidelines in preparation of new account guideline summaries for Compliance intranet site as an aid to investment professionals in the management of accounts.

• Kept intranet guideline summaries current by posting any account revisions in a timely manner to prevent any violations of these guidelines.

LOOMIS, SAYLES & COMPANY, Boston, MA January 2001-November 2001

Separate Account Compliance Specialist

Reviewed, analyzed and interpreted institutional client contracts and investment guidelines to identify restrictions to be coded in the implementation of an automated compliance monitoring system. Monitored accounts’ trading activities to ensure compliance with investment guidelines.

• Worked with outside vendors, consultants and Technology Group in a team effort to ensure all restrictions were captured and input into the Charles River compliance system to effectively monitor trading and prevent violations for approximately 2,400 private accounts and mutual funds.

• Developed non-systematic monitoring procedures and reports for unique restrictions that could not be monitored through the automated system.

• Participated in the compliance monitoring process, tested restrictions, researched any exceptions and prepared a compliance package for review by the compliance manager.

FIDELITY INVESTMENTS, Boston, MA November 1997-January 2001

Investment Compliance Specialist (July 1998-January 2001)

Monitored trading activities and maintained reporting requirements in accordance with client investment guidelines, ’40 Act Rules and internal policies for over 200 institutional clients’ accounts.

• Reviewed and revised client investment guidelines, and assigned monitoring rules to accounts to prevent compliance violations.

• Conducted monthly portfolio manager education sessions and reviewed institutional account guidelines to insure managers were aware of current compliance limits.

• Managed investment compliance group on Y2K Desktop Critical Application Inventory project. Prevented possible system failure by identifying non-compliant applications.

• Co-led Restriction System Decomposition project to determine and verify hard halt functionality and restriction message generation.

Blue Sky Compliance Specialist (November 1997-July 1998)

Successfully met renewal, amendment, and reporting requirements for over 50 mutual funds, preventing compliance violations of state regulations.

• Analyzed historical sales data to project future registration needs in an effort to save the funds unnecessary expenses.

• Uncovered and corrected inconsistencies with state correspondence and compliance records, which prevented possible compliance violations.

• Performed user acceptance testing for the Blue Sky 98 compliance system, which reduced risk, streamlined processes and reduced shareholder costs.

TITLE EXAMINATIONS

Owner/Manager/Title Examiner 1987-1997

Determined legal status and marketability of real property through research and analysis of municipal real estate and court records.

SHAWMUT BANK, MUTUAL FUNDS DIVISION, Boston, MA 1986-1987

Quality Control Specialist

Verified mutual fund customer orders and corrected detected errors to prevent inaccurate processing.

EDUCATION

B.S. - General Management BOSTON COLLEGE, Chestnut Hill, MA 1983

Concentrations: Computer Science, Marketing, Law

Contact this candidate