Amanda Beisel Email & Phone Number

Philadelphia, PA

• Monitor compliance with investment guidelines and restrictions. Inclusive of reviewing guidelines for new Funds/products and implementing revisions for modified guidelines, prospectuses and SAI’s where applicable
• Ensure the investment guidelines and restrictions are monitored in the system as expected, inclusive of testing newly created rules and annotating guidelines
• Responsible for monthly and quarterly certifications for clients to ensure compliance was maintained over the timeframe indicated
• Prior to acquisition of LCP, assisted the Compliance Manager in the preparation and review of regulatory filings including but not limited to ADV Part I and Part 2A, SLT, SSAE-16, and Forms 13F and 13G.
• Work with auditors to obtain documentation and provide feedback for completion of annual 206(4)-7 report.
• Assist in the annual review of the adviser's compliance manuals and implement required updates as appropriate

Newark, DE

• Provide client service for Investment Management portfolio managers managing Fixed Income accounts for Private Bank clients
• Communicate with product specialists, compliance, and guidelines on strategy/product transitions and new accounts
• Manage the communication between bankers and portfolio managers regarding raise cash, Do Not Trade, and liquidation requests, ensuring timely responses
• Reconcile the strategy and market value of approximately 8,000 accounts between Investment Management and the Private Bank
• Set up new accounts on the US and UK Fixed Income platform
• Responsible for creation of detailed guidance documentation for procedure steps in the coding process, (including daily coding, quality controls, revisions and closing of accounts) which is used for the training of new.

Marlton, NJ