Lead a team to collect and review reporting from 40 external investment advisers on quarterly basis and develop risk rating review. Review and analyze external investment adviser 38A-1 and 204(4)-7 reports for annual assessment of the firm's compliance program. Develop schedule for due diligence visits to 40 external investment advisers. Project management for new reporting system; analyze requirements, functionality, work flows and budget for a proper system for external investment advisers, internal business compliance and legal partners

Oversight of subadvisers that manage certain Columbia Management funds. Communicate, coordinate and site visit of subadvisers. Research and review subadviser policies and procedures. Distribute, collect and compile quarterly data on subadvisers' compliance to Adviser policy and procedures, and financial laws and regulations in accordance to the 1940, 1934 and 1933 Acts. Provide summary data and reports to internal committees and Funds Board.

oversight of new accounts , process of physical securities, test analysis of data during technology conversion, manage and audit of physical securities

Communicated and collected certain legal documents to deposit physical, restricted 144A and private securities for clients that had online brokerage accounts with the firm.