Alexa Mittenthal Email & Phone Number

Chicago, Il, Us

Chicago, Illinois, United States

• Responsible for monitoring and studying data on renewable energy project workforces collected by the Agency to inform the implementation of program practices, develop insights, and advance methodologies to apply to the Agency’s renewable energy programs. • Manage the Energy Workforce Equity Portal which is an online source designed to help connect clean energy companies with Equity Eligible Persons looking to work in the clean energy sector in Illinois. • Assist with updating the Equity Portal’s pages including the language, images, content, and structure, and drafted three sections for the DEI chapter of the Agency’s Long-Term Plan.• Compile DEI data across our programs and procurements and making it presentable for the Clean Energy Dashboard (in progress).• Attend events to conduct outreach to spread awareness of our programs and DEI initiatives.• Wrote one-pagers and created detailed timelines and spreadsheets to prepare for our upcoming Racial Disparity Study and Equity Accountability System Assessment.• Reviewed one of the Program Administrator’s DEI task schedule, and left comments and questions for review and improvement.• Post articles to our DEI Teams channel to promote inclusivity and understanding in the workplace.• Assisted the head of the agency in hiring the new Chief DEI Officer which included conducting multiple rounds of interviews, providing feedback, and ranking candidates. • Responsible for planning events to promote a healthy and inclusive culture at the Agency as a member of the Hospitality Committee.

Chicago, Illinois, United States

• Led the development of the Quarterly Report for the Chief Compliance Officer which involved formatting slides, communicating with employees regarding their disclosures, and summarizing regulatory updates released by the SEC.• Developed and streamlined multiple Compliance processes such as New Hires & Onboarding, and AML/KYC.• Led the review of our anti-money laundering (AML) cases and write comments for corrective action.• Responsible for multiple Code of Ethics tasks like necessitating correspondence with brokerages, writing memos for insider trading and personal trading exceptions, and communicating with executives via email and Webex.• Trained new employees on Compliance’s Code of Ethics and our compliance technology platform.• Enhanced the testing program, which involved writing a trade error testing script, and summarizing findings.• Edited the disclosure library to ensure proper grammar, clarity, and comprehension.• Assisted the Compliance Manager in organizing the annual risk assessment and editing the corresponding memo.• Designed and created the quarterly compliance newsletter which included writing short summaries for each topic.• Reviewed the company website for incorrect or outdated language and disclosures, as well as malfunctioning links.• Summarized No-Action Letters per the Marketing Rule of the Investment Advisors Act which discuss what is permissible to include in marketing materials, and applying said rules to Compliance’s review of marketing materials.• Member of the Asian Pacific Islander Business Resource Group, and the Event Planning Committee. Assisted in planning our AAPI Heritage Month Kick-off event.

Chicago, Illinois, United States

• Responsible for daily, weekly, monthly, and annual compliance tasks including: - Clearing outside business activity, conflicts of interest, and outside affiliations with government entities disclosures in SchwabCT. - Running subscription and transfer agreements through DocuSign which includes AML checks. - Creating a daily summary for GCM’s Equity Opportunities Fund (EOF), which includes largest longs and shorts (both in the US and in foreign jurisdictions), any holdings nearing the threshold, and any requests for secondaries. - Completing the FinCEN 314(a) bi-weekly check. - Responsible for cross checking names on GCM restricted list. - Assisted in clearing alerts on AML platform, RDC. - Summarized SEC cases and note the relevant rules and regulations. - Assisted with annual testing for complaints, charitable contributions, and termination of access. - Created an amendment for our 2019 LM-10 filing for errors found during annual testing.• Ad hoc projects included: - Assisting in the process of approving In-Kind Distributions. - Administering Do Not Trade updates to EOF sub advisors. - Drafting and amending Form U4 address change filings. - Keeping logs for customer complaints and exception reports. - Created a procedure for requests for secondaries in the EOF. - Assisted Finance by collecting annual survey responses from registered representatives.

• Responsible for daily compliance administration tasks such as trade rotations, conflicts checks, pre-clearances, and restricted lists. Trained full time new hire on these daily tasks.• Assisted the Chief Compliance Officer and VP of Compliance with special projects including: - Marketing reviews, guideline reviews, and best execution trading reviews for ZCM and sister subsidiaries. - Preparing for an SEC exam by compiling, checking, and formatting requested data. Attended SEC meetings. - Formatting newly released risk alerts, updating the LM-10 log, and updating access persons list and trade blotter. - Comparing and contrasting compliance manuals to aide in the integration of a ZCM acquisition. - Researching information on specific companies such as earnings reports, legal actions, mergers and acquisitions, etc., and looked to see if any employees traded near or on that date to assist in quarter-end Insider Trading testing.• Trained by entire team on compliance policies including advertising (past specific recommendation, net vs gross of fees, promissory statements, testimonials, back-testing), political contributions, AML, Code of Ethics, LM-10 and Form ADV.

Naperville, Illinois

• Assisted in compiling, updating, and preparing quarter-end data to generate monthly and quarterly fact sheets for all investment strategies and funds.• Fact-checked and edited commentaries, slide decks, fact sheets, attribution reports, website, video transcripts, and excel files and attended meetings with Sales, Marketing, Compliance, and Digital to articulate data/updates. • Completed Calamos Academy training courses including Behaviors in the Workplace, Introduction to Investment Management, and Time Management.

Villa Park, Illinois

• Responsible for the supervision and instruction of junior golfers, ages 6-13. Kept golfers active and engaged in a fun, safe, and healthy environment. Maintained CPR and AED certifications.