Colleen Lyons, Mba Email & Phone Number

Boston, Massachusetts, United States

Senior Project Manager managing multiple Regulatory projects in the IT Portfolio; leverage deep AssetManagement and Regulatory knowledge to deliver complete business solutions that align with strategic vision, build solid relationships with key stakeholders, coordinate application enhancements, and manage projects operating and capital budgets.

Product Owner for two homegrown Compliance Monitoring applications including complex derivatives logic, portfolio look through, Fund of Funds and exception management. Responsible for prioritization of enhancements, backlog grooming, story point estimation, requirements documentation, testing coordination, KPI's, recommendations to steering committee, and Senior Management reporting.• Strong working relationship with Scrum Master; translating epics, stories, and other items into actionable tasks for developers. • Accountable for tracking project budgets; including story point estimation while demonstrating flexibility.• Accountable for conducting business analysis identifying business solutions; including systems enhancements, new system functionality and process improvements.• Accountable for successful implementation of complex rules within the Compliance Engine.Program Manager for several Compliance initiatives successfully achieving all project goals in a timely manner; Highly Liquid Minimum Investment Rule, Large Trader, UCITS and Fund Conversions.Key liaison between Asset Management Business and Technology for all Compliance applications; trouble shooting production issues, managing risk, driving closure and communicating results.• Strong working relationships with Technology partners; including mentoring members of the team and building depth of knowledge on all Compliance applications.• Key relationship manager between AMC Business, Data Management Services team (GDS) and Fund Operations (FFIO); including mitigating risks, and data prioritization.• Accountable for conducting business analysis identifying business solutions for Compliance application issues.

Merrimack Nh

Supported Asset Management Compliance with timely delivery of Regulatory filings to Regulators within various jurisdictions.• Accountable for oversight of the Regulatory Reporting team; including managing a team of three analysts.• Accountable for maintaining project timelines for Filings; preparation of filings, coordination of reviews and signoffs and conducting test filings to ensure timely delivery with strict deadlines.• Accountable for implementing policies and procedures for Large Trader regulation; coordination with Legal representatives, outside Broker Dealers, Trade Operations and Senior Management.

Merrimack Nh

Supported High Income and Fixed Income Investment Professionals complying with Fund limit restrictions, including but not limited to, SEC Regulations, Board Limits, Prospectus Limits, Internal CIO Restrictions, and Wrap Provider Restrictions.• Accountable for oversight of the Fixed Income/High Income Monitoring teams; including managing a team of eight analysts.• Participated in developing a Compliance restriction matrix for various Wrap Providers which subsequently become an industry standard template for all Compliance shops that offer Stable Value products. This initiative was reflective of the 2008 subprime mortgage crisis.• Participated in developing a process to assist with identifying ERISA securities; including trade template updates, education sessions with Traders and Broker/Dealers, and review and approval of processes with Senior Management of Trade Operations.• Diverse knowledge on several types of High Income and Fixed Income instruments.

Greater Boston Area

• Accountable for establishing AMC Compliance representation on the Fixed Income Trading floor; including recruiting and interviewing for various Compliance positions.• Worked with Fixed Income Senior Management and Trade Operations Management as subject matter expert for Compliance inquires.

Greater Boston Area

Supported Equity Investment Professionals complying with Fund limit restrictions, including but not limited to, SEC Regulations, Board Limits, Prospectus Limits, and Internal CIO Restrictions.• Accountable for establishing new exception management procedures; including business requirements on complex workflows, addressing Technology questions, creating test plans, conducting testing, implementation and training.• Accountable for Risk Management assessments; including annual review of processes for accuracy and improvements.• Accountable for interpreting Fund Prospectus, SAI’s and client guidelines, creating complex rules based on interpretation and testing rule results for accuracy.

Greater Boston Area

Responsible for client relations and ensuring Compliance for Grantham, Mayo, Van Otterloo & Co LLC (GMO); including budgeting, expenses, fund limitations, prospectus/SAI reviews and security limitations/restrictionsResponsible for maintaining Books and Records for several Mutual Funds; including expenses, corporate actions, and calculating daily Net Asset Values (NAV)

Master'S Degree, Business Administration And Management, General

Bachelor Of Science - Bs, Accounting