Arthur Sullivan Email & Phone Number

New Castle, Delaware, United States

Newark, Delaware

New Castle, Delaware

Chadds Ford, Pennsylvania

• Design and implement comprehensive regulatory compliance processes and procedures for numerous financial service companies
• Conduct forensic audits and testing of compliance processes in order to ensure adherence to regulatory requirements
• Responsible for the identification of potential risk areas and working with various teams to design controls to mitigate that risk
• Conduct on-site due diligence reviews of sub-advisers, fund administrators, custodians and fund accounting firms.
• Prepare and present in-depth reporting for upper management and the board of directors

Newark, Delaware

• Managed and developed a small team responsible for the processing of dividend payments on behalf of a large international corporate client base
• Redesigned the group’s foreign currency reconciliation process and decreased reconciliation breaks from over 700 to less than 25 over a 3 month period
• Worked directly with Information Technology business partners to gather requirements, design enhancements and conduct testing for the Firm’s proprietary software
• Responsible for oversight and approval of cash transactions processed via Fedwire, as well as the initiation of foreign currency conversions.

Newark, Delaware

• Managed a team responsible for the distribution of dividends directly to client accounts
• Migrated and re-engineered a migrated dividend function in order to integrate the process into existing process flows and reduce any operational risk associated with a high touch manual process
• Designed and implemented various reporting tools, via Excel, in order to track key performance indicators, produce comprehensive management reports, and document outstanding payables and receivables.

Newark, Delaware

• Managed and developed a team responsible for the collateral management associated with derivatives trades
• Designed and engineered process improvements and implemented automation features that assisted in monitoring key performance indicators and reconciliation breaks
• Worked directly with the Information Technology team in order to implement a platform migration on a global scale
• Worked directly with institutional clients to coordinate service requirements in a constantly changing regulatory environment

Newark, Delaware

Greater Philadelphia Area

Bachelor Of Science (B.S.), Business/Commerce, General

Activities and Societies: Rugby, College Radio

Education record