Vp Operations And Compliance
Dolphin Limited Partnerships, Stamford, Ct
Created and managed new operations department for a group of three event-driven and activist hedge funds. Authorized signer, responsible for all areas of back-office operations, fund administration, broker and investor relations, and cash management. Regularly served as execution trader.• Managed relationships and accounts with multiple prime brokers and executing brokers.• Performed trade and position reconciliation, allocation and daily balancing of trading desk P&L with proprietary internal portfolio system.• Utilized internal portfolio system to generate daily position and NAV reports.• Performed daily and weekly cash reconciliation; monitored all cash movements and maintained wire book. Monitored and recorded dividends, short equity rebates and interest payments.• Processed options exercises, assignments and expirations.• Coordinated all aspects of equity swaps (ISDA) agreements, collateral and resets.• Oversaw corporate actions issues, including elections on tender offers and proxy voting.• Extensive interface with outside independent accountants and auditors.• Primary point of contact for investor due diligence inquiries.• Prepared and filed quarterly Form 13-F filings online with SEC, using EDGAR system.• Collaborated with legal counsel to prepare annual SEC Form ADV filings.• Performed annual electronic filings with Cayman Islands Monetary Authority.• Negotiated and executed confidentiality agreements with brokers and vendors.• Directed all soft-dollar payments for research under Exchange Act Section 28(e).• Updated and maintained internal controls and procedures manual.• Maintained business entity minute books.• Negotiated and procured Directors and Officers (D&O)/Professional Liability Insurance.