Bill Mcdonnell Email & Phone Number

Westlake Village, California, Us

Senior Compliance Manager for SEC registered investment adviser managing the FundX Upgrader Mutual Funds and separate accounts.

Compliance Manager for SEC-registered investment adviser managing the FundX Upgrader Mutual Funds and separate accounts.

Chief Compliance Officer and Anti-Money Laundering (AML) Officer for affiliated SEC-registered investment advisers – a wealth manager (Atherton Lane) and a private fund adviser (Deep Blue Capital Management, LP). Created and managed all aspects of integrated compliance and risk programs, and collaborated with business partners and outside counsel to create a private fund offering.• Created procedures to value client portfolios monthly, with a focus on private funds, venture capital funds, and real estate funds and partnerships.• Lead compliance risk assessment and controls reviews; develop, administer, test and modify controls to ensure effectiveness of compliance program.• Installed and leveraged compliance automation software that strengthened the firms’ ability to manage the Code of Ethics and compliance programs. • Prepared and managed all regulatory registrations and filings, including Form ADV and Brochure, Forms 13F and 13H, Section 13 filings, and state notice filings.• Collaborated with management and IT partners to create cybersecurity program that secured the firms’ network and safeguarded confidential information.• Created trading and brokerage allocation procedures, including best execution and soft dollars, to ensure compliance with SEC rules and consistency with disclosures in Form ADV and fund offering documents.

San Mateo, Ca, Us

Chief Compliance Officer and AML Officer for SEC-registered investment adviser managing hedge funds. Created and managed all aspects of compliance and risk program. Led operations team in new investor account opening, AML compliance, private fund subscriptions and redemptions, and liaison with private fund administrator. Coordinated service providers. Prepared and managed all regulatory registrations and filings.• Created and administered Code of Ethics compliance, including effective procedures establishing and monitoring the Firm's restricted list and insider trading.• Monitored and supervised the Firm's trading practices, including soft dollars, best execution, and trade errors. • Reviewed and approved marketing communications, advertising, and fund performance materials to ensure consistency and compliance with SEC rules.• Managed due diligence and compliance review process conducted by institutional clients.

San Francisco, California, Us

Compliance Manager and member of central Wholesale Compliance team establishing standards, practices, and procedures on compliance and operational risk issues. Successfully managed high profile bank (OCC) regulatory exam and internal audits, and high profile Anti-Money Laundering (AML) project. • Managed and coordinated Wholesale Bank regulatory examinations and internal audits which resulted in acceptable examination and audit reports. • Managed Anti-Money Laundering (AML) projects for the Wholesale Bank, which developed a risk-based approach that limited the impact of AML regulations on Wholesale Bank businesses. • Managed Wholesale Compliance Program for commercial, asset-based, and real estate lending businesses.• Compliance Manager for Health Benefits Services business specializing in the administration of flexible spending accounts (FSA) and health savings accounts (HSA).

Westlake, Texas, Us

Schwab Institutional - Services for Investment ManagersSchwab Corporate Services - Stock Option, Defined Benefit and 401k Plan Services Schwab Individual Investor – RetailSenior Corporate Counsel providing legal, regulatory, compliance, and risk management advice to three separate business units. Collaborated with business partners to create policies and procedures for new services offered to institutional clients, including venture capital firms, hedge funds, employee stock plan administrators, employee stock options advice, restricted stock.• Advised $300 billion Institutional business on issues relating to separate accounts, trading, operations, restricted stock, prime broker, custody, privacy laws, anti-money laws, and the USA Patriot Act. • Advised $114 billion Corporate Services business on issues relating to the Sarbanes-Oxley Act, SEC Rule 10b5-1 trading plans, and services for employee stock option plan administrators, venture capital firms, and hedge funds.• Advised $300 billion Retail business concerning initial public offerings, private placements, and Employee Stock Options Advice.• Negotiated a wide range of contracts, including managed account service agreements, web site user agreements, software development and licensing agreements, and market data agreements.

Bachelor Of Arts (B.A.), History

Juris Doctor