Alyssa Bentz Email & Phone Number

Columbus, Oh, Us

Minneapolis, Mn, Us

Columbus, Ohio, Us

Minneapolis, Minnesota, Us

• Develop, implement and maintain a compliance program in accordance with the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other applicable regulations.• Conduct required SEC risk assessments, testing and monitoring of policies and procedures to ensure the policies and procedures are reasonably designed to prevent, detect and correct violations of federal securities laws and are effective in their implementation.• Prepare and provide required communications and reports to the First American Funds Board of Directors and U.S. Bancorp Asset Management governing committees.• Conduct required oversight of the First American Fund third-party service providers including review of the third-party service providers' policies and procedures and compliance program.

Minneapolis, Minnesota, Us

• Primary responsibilities include providing recommendations, guidance and leadership in the development and maintenance of SEC Rule 38(a)-1 and SEC Rule 206(4)-7 compliance programs. • Provide senior management and mutual fund directors with information as required by federal securities laws and regulations.• Participate in the oversight of the compliance programs for mutual fund service providers to ensure their compliance programs are adequate and effective. • Lead, mentor and manage Portfolio Compliance team. Primary responsibilities of this team include: interpreting and analyzing the investment guidelines of clients and coding them into the investment management system; monitoring and ensuring compliance for all client guidelines and governing documents; and reporting compliance issues to senior management.• Created and currently administer two compliance industry groups: Charles River Compliance Forum and General Compliance Forum. Each group has over 100 members representing over 40 firms.• Collaborated with CCO to enhance the annual risk assessment process. The new process identified efficiencies to streamline the annual review of the adequacy and effectiveness of implementation of compliance policies and procedures. • Manage and oversee the annual risk assessment of policies and procedures.• Identify compliance exceptions through compliance testing and monitoring, analysis of audit reports, analysis of risk assessments. • Participate in the review and interpretation of applicable federal securities laws and work with senior management and staff in areas affected by necessary alterations in business practices to ensure understanding and implementation of new policies and procedures.• Participate in new and existing products and services development and implementation by reviewing new products or investment opportunities for consistency with regulatory requirements.

Minneapolis, Minnesota, Us

• Primary responsibility is management of our Trade Control, Security Master and Trading Analyst teams which includes all aspects of trade settlements, pricing, corporate actions processing, maintaining security master files and supporting all trading applications. These teams represent the first point of contact for all users of trading systems, brokers, custodians and fund services teams.• Additional responsibilities added in August 2014 include implementing and maintaining an effective operational risk management framework.• Collaborate with U.S. Bank’s Third Party Risk Management group to manage the risks associated with using third parties and ensure that each third party’s activity is conducted in compliance with applicable laws and regulations. Risks are managed by facilitating due diligence, risk assessments, contracting, ongoing monitoring and reassessment of the company’s third party relationships. • Assist in contract negotiation and budget analysis.• Provide expertise in the management of all investment system-related projects and requests.• Researched, analyzed, and successfully implemented FactSet to fulfill a portfolio analysis need on the trading desk. Worked with many teams to developed new processes and procedures to support and maintain the new system.

Minneapolis, Minnesota, Us

• Primary responsibilities include creation and maintenance of regular investment risk analysis reporting, presentation of investment risk to mutual fund directors, management of third party risk management process, facilitate formal risk and control assessments of operational risk, monitor the life cycle of all issues (regulatory, audit, etc.), manage risks related to new or modified products by conducting business change risk assessments, oversee the remediation of all information security risk extensions to ensure compliance with information security policies, partner with AML officer to maintain a comprehensive anti-money laundering program that complies with all applicable Bank Secrecy Act and Anti-Money Laundering laws, participate in the review of new client guidelines, facilitate business process owner certification for respective SOX and Basel processes, and management of Business Continuity/Disaster Recovery programs.• Collaborated with Compliance, Investment and Legal teams to develop processes and procedures to ensure compliance with the new enhanced stress testing requirements (Money Market Reform).• Facilitated monthly risk meeting to review and escalate risks to senior management. • Established an annual fraud prevention review to identify and mitigate fraud risk. This review will result in enhanced procedures which will strengthen our business unit controls.

Minneapolis, Minnesota, Us

• Responsibilities include tracking all outstanding issues for front office investment trading systems, prioritizing tasks, managing and providing direction to my team of analysts, providing weekly metrics for senior management, and providing project management direction for all trading initiatives.• Facilitated a successful Chares River upgrade which included defining business requirements, creating and maintaining numerous project plans, developing new workflows, writing and executing over 500 test scripts, and training over 80 end users to ensure a smooth transition.• Implemented FX All and CTM which included analysis, workflow creation, Charles River integration/set up, testing, documentation, end-user training, and coordinating legal contracts with lawyers.• Established electronic trading for international futures and stocks.

Minneapolis, Minnesota, Us

• Primary user contact for front office investment trading systems including but not limited to: Charles River, Portia, TradeWeb, Bloomberg, Factset, Liquidnet, Morgan Stanley Passport, Pipeline, ITG Channel, and ITG TCA.• Provided daily support to over 100 users of investment data by fielding questions, analyzing data issues, identifying causes and assisting with implementation of the appropriate solution.• Acted as the conduit between the front office users and development team, managing data requirements as needed for design and development efforts related to trading.• Analyzed TBA processing and developed alternatives which included the implementation of EPN messaging in Charles River to maximize effectiveness of the TBA Module.• Implemented Morgan Stanley Passport and integrated with Charles River.

Minneapolis, Minnesota, Us

• Provided post-execution trade support for the equity and fixed income trading desks for the following securities: domestic and international common stock, futures, options, swaps, mortgages, TBAs, treasuries, TIPs, agencies, international and domestic corporate bonds, ADRs, mutual funds, commercial papers, discount notes, REPOs, reverse REPOs, and municipal bonds.• Reconciled confirmations between DTC and the portfolio management system for assigned brokers.• Functioned as liaison for broker/dealers, custodians, traders and internal clients for trade settlement related issues.• Created and maintained documentation on policies and procedures.