Michael Bartlett, Mba Email & Phone Number

Milford, Ct, Us

Stamford, Connecticut, United States

Stamford, Ct

Greater New York City Area

- Assist global and domestic hedge fund and private equity fund managers with regulatory compliance under the Investment Advisers Act of 1940 and the Investment Company act of 1940, as well as rules and regulations created under the Dodd-Frank Act.- Draft customized compliance manuals to address various issues such as trade aggregation/allocation, soft dollars, Code of Ethics, social media, data security, business continuity, expert network consultants, marketing, electronic communications, record keeping and custody requirements, and routinely updating such policies and procedures.- Assist clients with reconciling and streamlining compliance obligations under multiple regulatory regimes (i.e., CFTC, SEC).- Create financial reports with detailed data analysis through the use of excel (Pivot Tables, Vlookup, Reconciliation).- Generate Anti-Money Laundering reports for fund investors.- Generate code of ethics data analysis reports in regards to personal trading accounts, holding periods, and restricted list securities.- Conduct allocation/aggregation variance testing reviews and analysis. - Prepare various regulatory and securities filings such as Form ADV Parts 1 and 2, 13F and 13H, and Form D.- Conduct annual compliance reviews pursuant to Rule 206(4)-7, and update existing policies and procedures- Review fund holdings for 13-F securities and eliminate those that are under the de minimus threshold.- Review marketing materials to confirm compliance with Regulation D and other securities laws.- Utilize Compliance ELF software to review pre-clearances for personal trading securities, gifts, and political contributions.

Shelton, Ct

- Analyzed Data from top contract suppliers- Implemented Contracts into Contract Logix- Analyzed Data in excel spreadsheets

- Prepared financial information on potential clients- Prepared financial proposal for potential client- Lead weekly discussions on current financial market outlook- Interacted with clients during meetings

- Managed Accounts, maintained balances - Managed Inventory and Sales- Basic Business fundamentals

Mba May 2012, Finance

Activities and Societies: Quinnipiac University Baseball Team, Economics & Finance Club Graduated with a major in Finance, minor.

Bachelor Of Science, Finance And Accounting

Activities and Societies: Member of Division I Men's Baseball Team at Quinnipiac University, Member of Finance & Economics Club, Member.

Bachelor Of Science, Finance 2011, 95