Andrew Mckessock Email & Phone Number

Greater Minneapolis-St. Paul Area

Promoted from Associate Director of Investment Compliance (2018 – 2020) to Director of Investment Compliance.Accountable for leading a team overseeing investment compliance and monitoring of stable value management trades. Direct pre-trade compliance activities including account setup, rule coding, complex testing, alert resolution, and management of restricted lists. Regularly engage in in-depth analysis of guideline changes to maintain the integrity of the investment process.Oversee live trading platform monitoring to ensure continual adherence to client portfolio requirements and proactively mitigate business risk by analyzing and adjusting to support evolving client needs. Successfully delivered an exemplary track record of minimal and zero trade errors.Key contributions in role include:- Streamlining operational processes and initiating the development of a proprietary database designed to enhance the analysis of stable value contracts.- Drive comprehensive projects to optimize operations including the FCC Examination initiative.About Galliard Capital Management:An investment management firm providing fixed income and stable value management services to institutional investors.

Greater Minneapolis-St. Paul Area

Oversaw a multifaceted role within the investment management firm, responsible for ensuring the firm's adherence to the complex regulatory framework. Maintained a deep understanding of financial regulations, strong attention to detail, and the ability to communicate effectively with both internal teams and external bodies to minimize business risk.

Greater Minneapolis-St. Paul Area

Held a critical role in the oversight and execution of tender and exchange offers, ensuring strict compliance with regulatory standards. Specialized in managing both foreign and domestic voluntary and mandatory offers across equity and fixed-income securities for a diverse client base that included retail and institutional stakeholders.Coordinated closely with brokerage firms, playing a pivotal part in balancing and settling trade fails and deliveries. This ensured a seamless experience for clients and supported RBC Capital Markets' commitment to service excellence.Collaborated extensively across large teams, bridging the gap between RBC, correspondent brokers, associates, and management. Focused on educational outreach and financial reporting, enhanced internal team expertise, and supported informed decision-making on complex financial deals.About RBC Capital Markets:A global investment bank providing banking, finance, and capital markets to corporations, institutional investors, asset managers, and governments.

Minneapolis, Minnesota, United States

Oversaw execution of solicited and unsolicited investment orders in treasuries, corporate bonds, callable and bullet agencies, municipal bonds, Variable Rate Demand Notes, and CDs. Compiled financial analysis based on customers’ portfolio needs, providing comprehensive investment recommendations.Obtained a strong understanding of the Anti-Money Laundering & Bank Secrecy Act, Privacy, and Code of Ethics through annual training courses.