Senior Manager, Investment Compliance Manager
Current• Manage day-to-day operations of Investment Compliance Department. • Extensive knowledge of the Investment Company Act of 1940, SEC and FINRA regulations, mutual fund operations• Primary contact for Investment Management compliance related questions and expertise• Respond to Investment Team inquiries to review potential trades versus the client’s investment contract• Establish and review compliance procedures for Putnam Fund Trustees, SEC, and outside audit firms• Interpret client/fund investment guidelines and accurately code to compliance system• Resolve compliance exceptions with both Investment Management and Client Service Teams• Work closely with Risk Management Team to monitor derivative use at Putnam Investments. Partnership ensures Putnam addresses relevant regulatory and market developments• Work closely with internal and external auditors in completing annual audits. Coordinate SAS70/SSAE 16 audit for the Investment Compliance Department.• Proactively develop and implement detailed compliance programs. Oversee implementation of procedures required by new or revised guidelines• Worked with Team to implement 2 Investment Compliance Management Systems while at Putnam Investments
