Danielle Money Email & Phone Number

Denver, CO, US

Boulder, CO, US

At Integrated Compliance, we understand the importance of compliance in the financial industry, and we are committed to providing the guidance and support necessary to navigate the intricate regulatory landscape. With our dedicated team by your side, you can focus on your firm, and be secure in the knowledge that your compliance needs are in expert.

• Manage client relationships, invoice for services provided, and ensure business obligations are met
• Assisting registered adviser clients with compliance projects and providing expertise. Projects include: o Conducting a risk assessment and building a customized Risk Matrix o Reviewing and drafting updates for firms’.

Denver, CO, US

• Provided comprehensive daily compliance oversight of the Paradice compliance program including the firms private funds
• Developed long-term compliance strategies alongside the CCO to ensure alignment with business objectives & regulatory requirements
• Created, implemented, & managed the Risk Management Framework including annual & ongoing review of identified risks, controls, & policies
• Implemented new requirements following SEC rule finalizations including the Marketing Rule
• Instituted & moderated the Compliance Committee & Code of Ethics Committee. Lead meetings, produced materials, & lead the discussions with key stakeholders
• Assisted oversight of the information & cyber security programs. Ensured compliance with global controls, monthly testing, review of IT security reports, & monitoring for gaps

Denver, CO, US

• Led, designed, and managed implementation of firm wide project tracking and work management system
• Wrote and assisted in the implementation of firm wide information security policy as well as client information security and business continuity policy and programs
• Assisted adviser and registered fund clients with regulatory compliance guidance and ongoing oversight of their compliance programs, including programs for advisers of private funds
• Provided compliance program build out and ongoing review for registered investment adviser and fund clients
• Drafted and provided annual review of policies and procedures for registered investment adviser and exempt reporting adviser clients
• Built and conducted annual compliance training and ongoing reviews for registered investment adviser clients

Denver, CO, US

• Provided oversight for fund and investor due diligence requirements under US and Cayman Law
• Completed the review and filing of Suspicious Activity Reports with FinCEN
• Coordinated various compliance needs and projects with the adviser, broker/dealer, and fund services CCO’s
• Completed initial review of entity legal documents, Know Your Customer procedures, due diligence screening, and relationship approval for all new alternative investment clients
• Developed AML and Code of Ethics training, implemented across all business units nationwide
• Oversaw new hire and annual compliance training for employees nationwide

Denver, CO, US

- Assisted in the oversight of ALPS Fund Services Anti-Money Laundering Program alongside the AML Officer.- Contributed to ALPS quarterly Regulatory Newsletter through research and writing of articles, distributed internally and to ALPS Clients.- Worked closely with all proprietary and Client Funds CCOs, Legal counsel, and Fund Administration to ensure all.

Denver, CO, US

- Analyzed mutual fund trade error data; collected corrections processing rates and data to interpret internal teams efficiency and accuracy. Provided to management on an ongoing basis. - Led the conversion of the corrections team to a new data and work processing system.- Communicated directly and worked closely with mutual fund clients, tax, compliance.

Denver, CO, US

- Generated correspondence on mutual fund clients behalf via letter, email or fax to be sent to client shareholders. Communicated processing and service messages on behalf of internal teams. - Worked directly with supervisors and other representatives to prioritize and complete daily tasks. Generated and reviewed daily files for quality control to be.

- Contracted with Garfield County Environmental Health Department to evaluate their policies and projects. Compiled databases of environmental health concerns and of persons concerned with environmental health issues for yearlong consulting engagement. - Consolidated policies of a non-profit corporate board from 15 years of corporate records to organize.

Master Of Legal Studies, Certificate In Regulatory Compliance

Religious Studies