Cindy Tran Email & Phone Number

Seattle, Wa, Us

Seattle, Washington

Regulatory change management program - US & Asia-Pacific; ESG Compliance Framework; RIA Compliance

United States

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 Investment Advisers Act and Investment Company Act of 1940

Greater Seattle Area

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 internally and externally. *Ongoing of compliance testing of policies and procedures. *Maintaining compliance manual, updating and drafting of policies and procedures. * Compliance training* Regulatory SEC reporting*Ensuring the firm is complying with all federal securities law along with the Investment Advisers Act and Investment Company Act of 1940*And maintaining a professional relationship with our clients.

Bellevue, Wa

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 updates.*Create and maintain the compliance risk matrix, testing scheduling, and testing of policies & procedures.*Completes daily, monthly, and quarterly portfolio compliance reviews in accordance to fundamental investment policies. *Coordinate the Business Continuity and Disaster Recovery plan.*Coordinate Recordkeeping Retention schedule for the adviser and the trust. *Review quarterly compliance questionnaires from sub-advisers for any violations affecting the funds. *Resolving any issues when necessary.*Manage the Code of Ethics & Personal Trading Accounts.*Maintain a professional relationship with sub-advisers and administrative agents.

Pasadena, Ca

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 gift and entertainment items*Review/investigate all trades to ensure for best execution*Member of the Broker Review CommitteeProvide compliance training to new and current associates

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 accordance with Rule 38a-1 and 206(4)-7*Review and analyze sub-advisers policy and procedures*Worked with sub-advisers compliance department on various topics such as best execution, code of ethics, violations, etc.*Review sub-advisers code of ethics to ensure it complied with Rule 17j-1Assisted CCO on various projects.

Bachelor'S Degree, Business Management

Project Management, Management

Aa, Business