Developed a service model and led an outsourced compliance services support team of 20+ professionals across the Firm's offices in the design, implementation and on-going administration of compliance programs for investment adviser clients, including private equity and hedge fund managers. Served as outsourced CCO for private equity adviser client and led the adviser through SEC exam review. Leveraged technology tools for greater efficiency in tracking monitoring and executing clients’… Show more Developed a service model and led an outsourced compliance services support team of 20+ professionals across the Firm's offices in the design, implementation and on-going administration of compliance programs for investment adviser clients, including private equity and hedge fund managers. Served as outsourced CCO for private equity adviser client and led the adviser through SEC exam review. Leveraged technology tools for greater efficiency in tracking monitoring and executing clients’ compliance programs. Developed a proprietary workflow model to allow for scalable servicing to assist clients with the development, implementation, maintenance, and ongoing monitoring of their compliance programs, the drafting and modification of their compliance policies and procedures, the preparation and timely submission of required regulatory filings, and the calendaring and execution of forensic testing of compliance controls. Show less

Lead a team of 54 professionals providing fund administration, regulatory, and post-trade compliance support for investment company, investment advisory and pension plan clients. Provide day-to-day management support to teams delivering board governance and SEC filing support to open-end, closed-end and ETF investment company clients and daily post-trade compliance results on clients’ investment company, IRS and investment guideline testing. Consult with JPMCB Fund Services sales and product… Show more Lead a team of 54 professionals providing fund administration, regulatory, and post-trade compliance support for investment company, investment advisory and pension plan clients. Provide day-to-day management support to teams delivering board governance and SEC filing support to open-end, closed-end and ETF investment company clients and daily post-trade compliance results on clients’ investment company, IRS and investment guideline testing. Consult with JPMCB Fund Services sales and product teams and directly with clients on new fund structure and set-up and globally on US market entry strategies for international investment management and insurance company clients. Oversaw the development and implementation of an on-line board governance support portal (FRaMES) and third-party hosted registration statement workflow and disclosure development tool. Show less

Developed and maintained Advisers Act, Rule 206(4)-7 compliance program for Securities and Exchange Commission (“SEC”) registered investment adviser, including coordinating on-going and annual testing, review and reporting of the compliance policies and procedures. Maintained the firm’s FINRA registration and Form ADV Parts I and II. Monitored and reviewed the code of ethics reports and pre-trade clearance requests by all staff. Conducted and coordinated all interactions with regulatory… Show more Developed and maintained Advisers Act, Rule 206(4)-7 compliance program for Securities and Exchange Commission (“SEC”) registered investment adviser, including coordinating on-going and annual testing, review and reporting of the compliance policies and procedures. Maintained the firm’s FINRA registration and Form ADV Parts I and II. Monitored and reviewed the code of ethics reports and pre-trade clearance requests by all staff. Conducted and coordinated all interactions with regulatory bodies, including state blue sky registrations for registered representatives and the adviser’s SEC registration. Maintained the firm’s single series SEC registered investment company, including monitoring day-to-day operations with the fund’s administrator and custodian and communicating with the fund’s board of trustees. Prepared and/or reviewed all SEC filings for the firm’s registered investment company. Performed general counsel functions, including conducting risk assessments, contract reviews, and responding to or coordinating responses through outside counsel to litigation. Show less

Prepared disclosure documents and shareholder reports for registered investment companies. Coordinated the preparation of meeting materials for investment company boards. Prepared documents for mergers and reorganizations, shareholder meetings, board governance matters and insurance for investment company clients. Assisted chief compliance officers for investment company clients with the preparation and maintenance of Rule 38a-1 compliance programs.

Assisted investment company and investment adviser clients with the interpretation and compliance with federal and state securities laws and federal securities registration and regulatory compliance. Drafted registration statements, proxy statements, exemptive applications, service agreements, corporate organizational documents, compliance procedures and marketing materials as well as prepared materials for meetings of Boards of Directors including resolutions and meeting minutes for investment… Show more Assisted investment company and investment adviser clients with the interpretation and compliance with federal and state securities laws and federal securities registration and regulatory compliance. Drafted registration statements, proxy statements, exemptive applications, service agreements, corporate organizational documents, compliance procedures and marketing materials as well as prepared materials for meetings of Boards of Directors including resolutions and meeting minutes for investment company clients. Show less