Cody Dean Email & Phone Number

I guide investment and wealth management firms as they strategically transform their portfolio management, trading, compliance, and middle/back office technology systems to optimize enterprise technology spend. I have subject matter expertise in the various systems used to make investment decisions, trade, monitor risk/compliance, service and account for positions, and report to regulators and clients.While at EY, I served as the Product Delivery Lead for the implementation of the Charles River Investment Management System at a top-tier US wealth management network. ($1.6 trillion AUM) Prior, I served as an Investment Compliance Officer at Wellington Management. Coverage included open/closed-end funds and SMAs. Asset classes covered included equity, fixed income, derivatives, and alternatives. In these roles, I ensured trades/positions complied with regulatory, firm, and fund investment restrictions. I helped launch new investment funds, negotiated and coded investment guidelines, and served as an “on the desk” adviser to the portfolio management teams. At Charles River Development, I was responsible for the implementation of the CRIMS compliance module across Wells Fargo's Wealth and Investment Management vertical. The multi-year project represented the firm's largest engagement and encompassed Wells Fargo Advisors, Wealth, and the Abbot Downing ultra-high net worth divisions. I began my career as a Compliance Analyst at Barclays Capital in New York where I provided regulatory compliance advisory coverage for futures and swaps. Primary responsibilities included managing regulatory inquiries for the Futures Commission Merchant (FCM) and facilitating the firm's relationship with the CFTC and global futures exchanges. Secondary responsibilities were centered around EMIR/MiFID II regulatory change with a focus on central counter parties (CCPs), clearing, and front-loading requirements. Participated in ESMA consultations surrounding these topics. I hold a B.A. in Government from Harvard University in Cambridge, Massachusetts where I focused on structural inequalities in American democracy. I spent a great deal of time working for political campaigns and other causes in support of the LGBTQ community.I have working proficiency in Spanish and significant international academic and professional experience abroad in Latin America and the Middle East.

Listed skills include Politics, Data Analysis, Research, Spanish, and 23 others.

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  Harvard University

  Government