Fairview™ was founded with the mission of providing outstanding compliance administration to advisory firms and investment management companies. Growing money management firms generally struggle with handling the compliance and operational challenges of an investment firm. As a service-focused company invested heavily in technology and operations expertise, we seek to support firms who want to stay focused on their primary objectives: managing money and maintaining their client relationships.

Recruited to bolster, enhance, & promote compliance program of a registered investment advisor that provides unique alternative investments for Financial Advisors & their Clients. • Designed and implemented new compliance monitoring software to effectively automate firm controls and questionnaires• Perform substantive and forensic testing of the Firm’s Code of Ethics while also preparing results for the Board of Directors• Reviewed investment company balance sheets & statement of operations/changes guaranteeing compliance with fund filings.• Manage and distribute Private Placement Memorandums and Sub-Docs during subscription phase of private equity fund launches• Append quarterly valuations of Venture Capital Funds while also preparing monthly cash reconciliation• Conduct ongoing due diligence of fund sub-advisers via liquidity reporting requests, quarterly questionnaires, and 15-C evaluations• Provided principal approval for 600+ fund advertisements. Calculated fund/benchmark ROI’s to verify accuracy.• Review and prepare fund regulatory filings for the SEC, FINRA, and NFA. • Communicate pertinent information to regulatory agencies, outside counsel, auditors, and the Funds' Boards of Directors

Hired as manager to lead an eight-person team (5 domestic & 3 offshore) responsible for trade management of Fixed Income products, driving operational efficiency, & ensuring the completion of 16 daily regulatory reports. • Engineered multifaceted report identifying payables/receivables resulting in an 80% reduction in time spent recapping data.• Gathered complex details and requirements for business development documents. Mapped processes to expose inefficiencies.• Synchronized daily funding of Treasury and MBS accounts. Released payments (~$1bn) to departments with liquidity needs.• Analyzed and submitted Schedule C & SI Federal Reporting. Vetted respective financial instruments to verify classification.• Fielded inflows/outflows in excess of $30 billion amid increased periods of trade volume during settlement cycles.

Partner with front office, technology, and product control to ensure timely and accurate trade management of equity trades• Implemented new tagging logic to re-assign 2,500+ entries resulting in a 20% reduction in erroneously tagged trade breaks.• Formulated report to provide preemptive breakdown of cash differences for 50,000+ ‘Done-with’ trades saving $500/day. • Hardcoded 100+ sets of instructions to endorse straight through processing eventually increasing capacity by 1.5 hr/ day.• Earned Top Talent commendation from senior management as a subject matter expert for trade reconciliation.

Monitored and reconciled the four major accounts (~$4 Billion) used by the Loan Operations department• Fostered operational excellence team project to streamline daily processes achieving time savings of 40 hr / week.• Led research project to trace and recover $700k in firm funds after an audit revealed account discrepancies. • Served as the primary contact for negotiating all compensation inquiries for late funding and optimized by 1 hr/day.

Worked closely with university controllers, accountants, & assets managers to serve as an internal auditor.• Audited newly acquired university assets, tagged each item with a unique barcode identifier, and calculated depreciation• Reviewed invoices to determine tax status and prepare for external audits and developed new document organization system