Invesco, Ltd. is a leading independent global investment management firm dedicated to helping investors worldwide achieve their financial objectives. Invesco and its affiliates provide a comprehensive range of investment strategies and vehicles to retail, institutional and high-net-worth clients. Operating in 21 countries around the world, Invesco manages over US$780 billion in investor assets.* Supported fixed income investment professionals in the US, Canada, and Europe to ensure compliance with investment guidelines and regulatory requirements.* Monitored trading activities through Aladdin and Charles River order management systems.* Developed, tested and monitored automated compliance controls to maintain compliance with investment guidelines, firm policies, and relevant securities regulations.* Conducted forensic testing and prepared documentation to demonstrate adherence to state, federal, and self-­regulatory agency requirements to regulators and internal audit colleagues.* Assisted senior management in implementing effective controls and quality assurance processes to provide early identification and prevention of potential compliance violations.* Managed various cross-­functional projects and new product launches designed to enhance the firm’s investment capabilities and offerings to advisory clients.* Directly supervised Compliance Officers and assisted other compliance colleagues located around the world.

Macquarie Group is a global provider of banking, financial, advisory, investment, and funds management services. Founded in 1969, Macquarie is Australia's largest investment bank and now employs more than 13,000 people in 28 countries around the world with assets under management of over US$360 billion.* Supported three distinct business units as the primary compliance resource for registered investment advisers, private placements, funds of funds, registered investment companies, separately managed accounts, lending, and swap transactions.* Assessed new product initiatives and transactions to ensure compliance with existing regulations and adherence to risk management guidelines.* Developed policies and procedures designed to prevent violations of relevant securities regulations.* Tested business practices to confirm compliance with policies and procedures.* Analyzed new regulations, assessed the business impact, and recommended changes to business practices, policies and procedures.* Served on ad hoc project management teams and assisted with the development of the company’s response to new regulatory initiatives and business needs (e.g., AIFMD, Swap Dealer Regulations, and Lobbyist Registration).

Aspen Partners was founded in 1996 to provide alternative investment solutions to financial professionals seeking diversification opportunities for client portfolios. Investment products include a variety of managed futures and hedge fund programs suitable for certain high net worth individuals and institutional investors as well as mutual funds allowing retail investors access to alternative investment strategies.* Comprehensive compliance responsibility for multiple entities including two Registered Investment Advisers, four Registered Investment Companies, a Commodity Pool Operator, an Introducing Broker, a Broker/Dealer, an a number of Funds.* Managed all compliance functions for investment products including hedge funds, managed futures funds, funds-of-funds, separate accounts, private placements (onshore and offshore), public funds, commodities, derivatives, and equities. * Executed all regulatory filings such as Form ADV, Registration Statements, Form 10/10-Q/10-K, FOCUS reports, Forms U4 & U5, Pool Financial Statements, and Form 1FR-IB. * Performed routine compliance duties related to: Promotional Material Review, E-mail Monitoring, Anti-Money Laundering, ERISA, Suitability, Proxy Voting, Disaster Recovery, Insider Trading, Ethics, Privacy, Licensing, Valuation, Net Capital Computations, Trade Reconciliation, Best Execution, Client Reporting, Regulatory Filings, Blue Sky Reporting.