Christopher Ellerman Email & Phone Number

United States

General Counsel - Initially hired as a junior member of a data quality remediation team, I was soon appointed to manage the team that after 2 years ballooned to over 13 international direct reports. The team was responsible for resolving breaks pursuant to firm-wide initiatives and regulatory directives to reconcile contractual (ISDAs, REPOs, Futures etc.) data breaks between documentation and electronic/digital capture thereof. I was also accountable for reporting on progress towards those ends, timely attainment of deadlines, managing stakeholder expectations and senior management escalations. The team was vital, enabling Credit Suisse’s compliance with IOSCO initial and variation margin regulatory mandates. ALM main application used. Market Risk Platform – Once the data remediation initiatives concluded, my expertise was deemed vital and my role was incorporated into Market Risk Platform where I was a subject matter expert for the Global Master Agreement Repository and Netting Analyzer (MARNAG). My role entailed ensuring accurate automated netting determinations, application upgrades requested from stake-holders, data quality assurance, design and implementation of new data models, vendor communication, management of workflow tools and many others. JIRA main application used.

New York, New York

Prepare most filings for submission to the SEC for open and closed ended mutual funds (including N-Qs, N-1's, S-1's, NCSR's, NSAR's etc.). Proficient with Edgar and XBRL filings. Prepare and assemble Board of Directors materials; Legal Review of sales material for Broker/Dealer, Institutional and National Account distribution; FINRA Filings; ICI Verifications; NYSE Affirmations; Dividend Declarations;

Greater New York City Area

Prepared all components of 33 Act, 34 Act and 40 Act registration statements and supplemental filings for over 30 MetLife variable and fixed annuity retirement products. Proficient with SEC submissions pursuant to rules 485, 424, and 497 including POSAM’s, 485APOS’s, 485BPOS’s, N-4’s, S-1’s, and S-3’s. Responsible for the review of N-SAR’s and 24f-2’s for each of our 5 Separate Accounts and for satisfying requests from the Compliance Department. Primary liaison and coordinator with our two financial printers (Bowne and Donnelley who recently merged). Highly skilled with Donnelley’s proprietary document management system called FundAlign.

Doctor Of Law (Jd)

Bachelor Of Arts (Ba), History And Philosophy