San Francisco Bay Area
* Results-oriented Compliance professional with a proven track record of designing and implementing compliance programs. * Highly effective collaborator, comfortable educating and engaging key stakeholders in firm-wide initiatives. * Ethically minded team player able to build outstanding rapport with internal and external clients. * Dynamic problem-solver specializing in mitigating risk and managing time-critical financial liability.
ETF Compliance
• Responsible for executing forensic testing across the firm's entire complex of funds. • Identify trends in policy related exceptions and develop preventative mechanisms. • Partner with Technology, Middle Office, Legal, Trading, and Compliance on a regular basis to accomplish cross-organizational goals.
• Direct compliance oversight of 40 Act mutual funds representing $36B in total assets, working with portfolio managers, account managers and trade assistants to identify and prevent potential compliance breaches. • Collaborate with technology in the design, testing and implementation of data-mining software (Business Objects/Infocube Plus/Surface) utilized firm wide, reducing query processing time by 50% to date. • Create standardized documentation for compliance procedures (17A-7, 10F-3, 851b), mitigating the risks of user error and ensuring consistent practices are followed while monitoring regulatory guidelines. • Serve as an appointed representative in a cross-organizational automation forum, delivering automated solutions and process improvements while facilitating knowledge sharing across the firm.
• Conduct trade oversight for over 300 mutual funds on the Fidelity global equity trading desk, providing real-time trade analysis to ensure conformity to regulatory, client, and internal guidelines. • Design and deliver educational seminars to investment professionals managing Fidelity’s product line, providing a detailed overview of both the 40 Act and ERISA regulations. • Analyze trends in trading volumes across the emerging markets and publish recommendations to impose or lift trading restrictions in order to preserve portfolio liquidity. • Coordinate compliance certifications provided directly to the board of directors of eleven distinct external clients, representing $12 billion in combined assets.
• Established monitoring procedures for new fund start-ups encompassing relevant SEC regulations, prospectus policies, quantitative guidelines, benchmarks, and asset allocation models. • Collaborated directly with portfolio managers and equity traders to determine permissibility of proposed investments, proactively preventing policy breaches. • Initiated several process improvement innovations including an IPO screening model that reduced analysis time by 30%, and allowed for more timely investment decisions. • Appointed as a subject matter expert for a multi-year compliance system replacement initiative. Responsible for documenting end-user requirements and streamlining the graphical user interface.
• Managed performance of six analysts in a highly visible and volatile environment, utilizing metrics and statistical analysis to ensure consistent information delivery to investment professionals. • Served as a department coordinator for the 2005 Argentine debt restructuring, involving $103 billion in defaulted bonds and requiring over seven months of analysis as well as collaboration with several portfolio managers, traders, and accountants. • Implemented statistical models to measure the efficiency of departmental workflows. Imposed changes and automated data feeds that generated a 16% improvement in processing time. • Recognized with the Fidelity Most Valuable Player Award in July of 2005 for excellence in performance and service delivery.
• Responsible for publishing the provisions and detailing the investment options of mandatory and voluntary corporate actions for 24 retail and 170 institutional clients. • Executed time-critical client instructions for mergers, tender offers and class actions, ensuring instructions complied with fiduciary duties and investment objectives. • Appointed as a subject matter expert to assist in the implementation of a new Corporate Action platform; discovered 32 software issues through rigorous testing, and worked through resolution prior to rollout. • Awarded the IBT Starlight Award for demonstrated ability to assume new responsibilities, improve processes and elevate client service levels.