AeroLeads people directory · profile
Cindy Tran Email & Phone Number
Assistant Director
at
Principal Asset Management
LinkedIn matched
✓ Verified Jun 2026
3 data sources
Profile completeness 86%
Current company
Role
Assistant Director
Location
Seattle, Washington, United States
Who is Cindy Tran? Overview
A concise factual answer block for searchers comparing this professional profile.
Quick answer
Cindy Tran is listed as Assistant Director at Principal Asset Management, based in Seattle, Washington, United States. AeroLeads shows a matched LinkedIn profile for Cindy Tran.
Cindy Tran previously worked as Compliance Advisor at Principal Global Investors and Compliance Analyst at Principal Global Investors. Cindy Tran holds Bachelor'S Degree, Business Management from University Of Houston-Downtown.
Company email context
Email format at Principal Asset Management
This section adds company-level context without repeating Cindy Tran's masked contact details.
Principal Asset Management
Review company-level records connected to Cindy Tran before choosing the right outreach path.
Profile bio
About Cindy Tran
Hi, I'm Cindy but most of my industry peers call me C-Tran. I have nearly 20 years of investment adviser compliance experience at mostly large financial institutions. I have developed and managed robust compliance programs, conducted compliance trainings, lead regulatory change management for US and Asia and compliance oversight for ESG, sustainable investing and artificial intelligence. I have a passion for compliance work and helping mentor junior associates as I firmly believe in giving back what past employers, leaders, and mentors have given me throughout my career.Favorite quote: “No act of kindness, no matter how small, is ever wasted.” - AESOP
Current workplace
Cindy Tran's current company
Company context helps verify the profile and gives searchers a useful next step.
8 roles
Cindy Tran work experience
A career timeline built from the work history available for this profile.
Assistant Director
CurrentRegulatory change management program - US & Asia-Pacific; ESG Compliance Framework; RIA Compliance
Mar 2022 - Present
Compliance Advisor
Mar 2019 - Mar 2022
Compliance Analyst
Global oversight of RFP/RFI/DDQ compliance reviews. Review of US institutional advertising and marketing materials for equities, SMA, and various model portfolios. * Compliance testing of policies and procedures. * Compliance training* Updating and maintenance of Risk Assessment*Ensuring the firm is complying with all federal securities law along with the.
May 2017 - Mar 2019
Compliance Analyst
Edge Asset Management, Inc.
Daily monitoring of trade activity in respect to portfolio guidelines set forth in the client investment agreements, prospectus and SAI for clients and advisers via the Charles River system. Reported directly to Chief Compliance Officer.*Code of Ethics *Client compliance questionnaires.* Advertising and Marketing review conduct and approval of pieces used.
Jun 2013 - May 2017
Compliance Specialist
Oversee sub-advisers and administrative agent in regards to rules and regulations of the Investment Advisers Act of 1940. Reported directly to Chief Compliance Officer.*Perform on-site due diligence of sub-advisers and their compliance program and policies and procedures. *Update policies and procedures within the compliance manual to reflect new and/or.
Jun 2012 - Jun 2013
Us Regulatory Compliance Officer
Oversee and coordinate the US compliance monitoring program. Identify and resolve issues relating to compliance. Reported directly to Chief Compliance Officer.*Manage a robust US Compliance Monitoring Program*Coordinate internal and external audits*Review and draft policies and procedures*Complete sub-adviser compliance certifications*Manage the Firm's.
Sep 2007 - Jan 2012
Compliance Associate
Managed Russell's policies and procedures in accordance to the Investment Advisers Act of 1940. Reported directly to Chief Compliance Officer.*Manage sub-advisers compliance program to ensure rules and regulations are not violated.*Assisted in drafting of quarterly and annual board reporting for the funds and advisers.*Review policies and procedures in.
Jun 2005 - Sep 2007
3 education records
Cindy Tran education
Bachelor'S Degree, Business Management
Project Management, Management
Aa, Business
Seattle Central College
FAQ
Frequently asked questions about Cindy Tran
Quick answers generated from the profile data available on this page.
What company does Cindy Tran work for?
Cindy Tran works for Principal Asset Management.
What is Cindy Tran's role at Principal Asset Management?
Cindy Tran is listed as Assistant Director at Principal Asset Management.
Where is Cindy Tran based?
Cindy Tran is based in Seattle, Washington, United States while working with Principal Asset Management.
What companies has Cindy Tran worked for?
Cindy Tran has worked for Principal Asset Management, Principal Global Investors, Edge Asset Management, Inc., Symetra, and Western Asset Management.
How can I contact Cindy Tran?
You can use AeroLeads to view verified contact signals for Cindy Tran at Principal Asset Management, including work email, phone, and LinkedIn data when available.
What schools did Cindy Tran attend?
Cindy Tran holds Bachelor'S Degree, Business Management from University Of Houston-Downtown.
Find 750M verified contacts
Search by job title, company, industry, location, and seniority. Export verified B2B contact data when you need it.
Start free trialPeople with similar names
Check these profiles if this is not the Cindy Tran you were looking for.
Cindy Tran
2 email domains
Cindy Tran
2 email domains
Cindy Tran
7 email domains
Cindy Truong
3 email domains
