Brian Brooks Email & Phone Number

Boston, MA, US

• Manage cross-enterprise engagement, including representation of Asset Management (AM) on Enterprise data forums including the Enterprise Data Management Council, Enterprise Legal, Risk and Compliance Data Advisory.
• Champion the development and implementation of new data/governance capabilities to support a global investment organization including Data Catalog, Advanced Data Quality Oversight, Data Shares, Data Access, Data.
• Lead cross functional data initiatives intended to support new investment product capabilities including but not limited to: FX OMS Modernization, Alternative Data, Alternative Investment Product development, Form PF.
• Established the first Asset Management (AM) Data Office, responsible for driving AM Data Governance and Strategy, business enablement, improving organizational data competency, and advancing AM’s strategic objectives.
• Development of the first AM Alternative Data Policy with accompanying training, providing guidance on the acquisition of new alternative data sets with emphasis on Web scraping. Ongoing responsibility for review and.

Boston, MA, US

• Set the strategic vision for Data Management and Integration on behalf of AM Compliance, Risk and Business Operations (CRBO)
• Set the data strategy for $65million Investment Compliance System build and mapped all data in support of the program encompassing Data Quality, Data Lineage, Reporting & Business Intelligence, Machine Learning &.
• Managed the Common Data Product on behalf of the organization, including management of data service provider engagements, business data priorities, issue remediation and integration oversight
• Developed thought leadership and strategy for future state of Test Compliance and Operational Oversight as functional lead and subject matter expert in Investment Compliance Environment (ICE) Application
• Led a team of application and database developers, supporting the Fiduciary Oversight and Board Support End User Developed Application Business (UDA)

Boston, MA, US

• Developed thought leadership and strategy for future state of Test Compliance and Compliance Rule Oversight with a focus on Process & Data Orientation, Risk Based Controls Implementation and Operations Efficiency.
• Led a team of application and database developers, supporting Asset Management Compliance End User Developed Application Business
• Provided subject matter expertise to management and associates in support of Test Compliance and Compliance Rule Oversight

Boston, MA, US

• Provided leadership support of Process & Data Orientation, Risk Based Controls Implementation and Operations Efficiency Management
• Led a team of application and database developers, supporting Asset Management Compliance End User Developed Application Business
• Served as Project Implementation Business Transition Lead driving various tracks of the COMPAS Project Implementation including Data Acquisition & Distribution

Boston, MA, US

• Managed a Compliance program rules library of over 7k rules embodying more than 350k portfolio|rule assignments intended to support compliance testing for portfolios spanning multiple different asset classes
• Oversaw Compliance set up of New Equity & Fixed Income Products, including Separate Accounts, Commingled Pools, Exchange Traded Funds and Wrap Accounts
• Developed in-depth metrics for proprietary monitoring platform and conducted analysis to support both the continuity of Strategic Departmental Initiatives and adherence to industry regulations
• Designed, Developed, and Implemented multiple Compliance Oversight technology solutions including the Derivatives Monitoring Access Application, Fixed Income Portfolio Average Credit Quality Calculation and Reporting.

Boston, MA, US

• FINRA Series 7 – General Securities Agent License, FINRA Series 63 – Uniform Securities Agent License
• Provided Associate-level support of Securities Trading, Monetary Transactions, Account Maintenance, and problem resolution
• Provided Complex Securities Trading/Account services to Fixed Income, Mutual Fund, Equity, and Options
• Coordinated with back-office operations to facilitate client dispute/problem resolution
• Designed and implemented a comprehensive training program for a department of 150+ associates

Boston, MA, US

• FINRA Series 7 – General Securities Agent License, FINRA Series 63 – Uniform Securities Agent License
• Provided Complex Securities Trading/Account services to Fixed Income, Mutual Fund, Equity, and Options

Certificate Program, Applied Data Science Program: Leveraging Ai For Effective Decision-Making

Master Of Business Administration - Mba, Business Administration And Management, General

Master Of Business Administration - Mba, Business Administration And Management, General

M.S, Finance

B.A, Business Administration