-Oversee maintenance of, and updates to, assigned funds’ Compliance Programs and Summaries of Service Provider Procedures. This shall include reporting any material changes in policies and/or procedures of the funds or its service providers to the respective Fund Boards.-Develop and oversee maintenance of, and updates to, assigned all product risk assessments. -Provide and present regular, quarterly reports to assigned Funds’ Boards of directors/trustees. This shall include an annual… Show more -Oversee maintenance of, and updates to, assigned funds’ Compliance Programs and Summaries of Service Provider Procedures. This shall include reporting any material changes in policies and/or procedures of the funds or its service providers to the respective Fund Boards.-Develop and oversee maintenance of, and updates to, assigned all product risk assessments. -Provide and present regular, quarterly reports to assigned Funds’ Boards of directors/trustees. This shall include an annual written report to the Fund Boards.-Participate with Internal Audit in the coordination of fund level risk assessments of various services provided by ALPS and other service providers.-Perform on-site due diligence visits to services providers of assigned funds including, but not limited to, investment adviser, sub-adviser, transfer agent, fund administrator, fund accounting agent, distributor and custodian.-Work with outside counsel, fund counsel, and ALPS in-house counsel to monitor for and identify proposed and/or final regulatory actions that could impact the funds. -Liaise with existing fund clients to coordinate compliance related due diligence visits and provide ongoing Fund CCO support to clients of ALPS.-Assist regulators and consultants by providing requested information necessary to conduct regulatory/compliance reviews and examinations of the funds assigned. Show less

•Work closely with the Fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Attend and present at Board meetings for registered funds Boards on various compliance matters and projects.•Manage mutual fund compliance team and oversee testing/monitoring for the Fund Compliance Program•Manage the development and administration of the mutual fund and… Show more •Work closely with the Fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Attend and present at Board meetings for registered funds Boards on various compliance matters and projects.•Manage mutual fund compliance team and oversee testing/monitoring for the Fund Compliance Program•Manage the development and administration of the mutual fund and ETF compliance programs; help define and develop risk parameters, implement the program and review the final reports before delivery to Fund CCO.•Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs - oversee testing and oversight of policies and procedures. Prepare written documentation of results for submission to the fund CCO.•Organize, analyze, review, and prepare deliverables for quarterly board reporting for mutualfunds and ETFs. Also, review sub-adviser compliance reporting for inclusion in quarterlyreporting.•Liaise with management and different departments regarding special projects and regulatoryinitiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.•Partner with business, operations, and legal partners to administer mutual fund complianceresponsibilities and to advise on regulatory risks and requirements.•Coordinate or assist in regulatory examinations and/or audits and prepare information andresponses to various requests.•Manage ad hoc projects, as needed. Show less

•Work closely with the Fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Attend and present at Board meetings for registered funds Boards on various compliance matters and projects.•Assist the CCO in the development and administration of the mutual fund and ETF compliance programs; help define and develop risk parameters, implement the program… Show more •Work closely with the Fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Attend and present at Board meetings for registered funds Boards on various compliance matters and projects.•Assist the CCO in the development and administration of the mutual fund and ETF compliance programs; help define and develop risk parameters, implement the program and review the final reports.•Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs - perform testing and oversight of policies and procedures. Prepare written documentation of results for submission to the fund CCO.•Organize, analyze, review, and prepare deliverables for quarterly board reporting for mutualfunds and ETFs. Also, review sub-adviser compliance reporting for inclusion in quarterlyreporting.•Liaise with management and different departments regarding special projects and regulatoryinitiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.•Partner with business, operations, and legal partners to administer mutual fund complianceresponsibilities and to advise on regulatory risks and requirements.•Coordinate or assist in regulatory examinations and/or audits and prepare information andresponses to various requests.•Manage ad hoc projects, as needed. Show less

•Work closely with the fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Assist the CCO in the development and administration of the mutual fund and ETF complianceprograms; help define and develop risk parameters, implement the program and review the finalreports.•Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs -… Show more •Work closely with the fund CCO to develop, administer, and update mutual fund and ETFcompliance policies and procedures designed to comply with the Investment Company Act andInvestment Advisers Act of 1940.•Assist the CCO in the development and administration of the mutual fund and ETF complianceprograms; help define and develop risk parameters, implement the program and review the finalreports.•Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs - perform testingand oversight of policies and procedures. Prepare written documentation of results forsubmission to the fund CCO.•Organize, analyze, review, and prepare deliverables for quarterly board reporting for mutualfunds and ETFs. Also, review sub-adviser compliance reporting for inclusion in quarterlyreporting.•Liaise with management and different departments regarding special projects and regulatoryinitiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.•Partner with business, operations, and legal partners to administer mutual fund complianceresponsibilities and to advise on regulatory risks and requirements.•Coordinate or assist in regulatory examinations and/or audits and prepare information andresponses to various requests.•Manage ad hoc projects, as needed. Show less

- Holistically recreated the Chief Compliance Officer Report to present more valuable, risk-based information to the Board of Trustees-Created a compliance communication site to better inform and involve the company on regulatory news, requirements, and policies and procedures- Spearheaded the implementation of new technologies to the Compliance Department, including Office 365- Member of Operational Risk Committee and the Sub-Adviser Oversight Committee- Participate in onsite… Show more - Holistically recreated the Chief Compliance Officer Report to present more valuable, risk-based information to the Board of Trustees-Created a compliance communication site to better inform and involve the company on regulatory news, requirements, and policies and procedures- Spearheaded the implementation of new technologies to the Compliance Department, including Office 365- Member of Operational Risk Committee and the Sub-Adviser Oversight Committee- Participate in onsite Due Diligence visits of service providers- Review and enhance Trust and Adviser-level policies and procedures Show less

-Enhanced and consolidated ALPS compliance management program and procedures as the project leader, realizing over 20 hours per quarter in tasking efficiencies at the individual analyst level-Took the lead on a new ALPS business line during a time of transition, leading to an expanded contract of a major client due to satisfaction of the level of service provided-Initiated and led an effort to revamp the CCO Board Reporting process at ALPS to create a more dynamic end-product and… Show more -Enhanced and consolidated ALPS compliance management program and procedures as the project leader, realizing over 20 hours per quarter in tasking efficiencies at the individual analyst level-Took the lead on a new ALPS business line during a time of transition, leading to an expanded contract of a major client due to satisfaction of the level of service provided-Initiated and led an effort to revamp the CCO Board Reporting process at ALPS to create a more dynamic end-product and holistic approach to the Compliance Program-Serve as the primary compliance contact and Secretary of the Compliance Committee for three of the largest ETFs in the country-Presented Subject Matter Expert presentations to train co-workers on a variety of compliance regulations and products.-Perform and/or review Compliance monitoring activities and testing as outlined in assigned Fund Compliance Programs and Oversight Procedures.-Assist Analysts in performing compliance monitoring activities as outlined in assigned Compliance Programs.-Provide training and guidance to team.-Perform due diligence visits and risk assessments of various service providers as requested by the Compliance Services Manager, AVP or Deputy Chief Compliance Officer.-Serve as primary liaison with service providers and assist regulators and consultants by requesting and/or providing information necessary to conduct regulatory compliance reviews and examinations.-Assist in the creation of quarterly and annual written reports to the respective Fund Boards.-Complete Code of Ethics monitoring for various Registered Investment Companies.-Maintain and update assigned Fund Compliance Programs and risk assessments.-Report to the Manager/ Deputy CCO on day-to-day activities and escalate all material deficiencies.-Review new laws and regulations that may affect ALPS or its clients and evaluate the impact of those changes. Show less

-Perform compliance monitoring activities and testing.-Assist in the creation of quarterly and annual written reports to Fund Boards. -Complete Code of Ethics monitoring for various Registered Investment Companies.-Maintain and update assigned Fund Compliance Programs and risk assessments.-Review new laws and regulations and evaluate the impact of those changes.-Assist in the compilation of due diligence materials.

Research/analyze licensing and compliance requirements for the Field Services Division. Collaborate with department members to create and organize accurate information databases. Write policy and procedure documents to be be distributed to Field Services operatives across the country. Research team completed nation-wide security data collection in half the time of leading competitors.

Served as a community and professional resource at Achieve Academy as the Communication Liaison. Taught communication basics to student groups. Served as a leader in the implementation and compliance of the Academic Parent-Teacher Teams program. Also assisted in ensuring compliance with state standards in various areas.

Instructed and mentored approximately 50 English Language Learner students from Kindergarten to 8th Grade. Created lesson plans for language acquisition, reading, and writing. Implemented technology and critical thinking into the learning environment. Tutored struggling students after school. Helped the administration implement a Positive Behavior in School program.