Dave Nash Email & Phone Number

Atlanta, Ga, Us

Understand complex regulatory requirements, such as Fundamental Review of the Trading Book, and Fair Value (as prescribed under IFRS 13, FASB ASC-820, and SEC Rule 2a-5), and develop data driven solutions to those requirements. Become subject matter expert, with a deep understanding of the market direction, user needs, data requirements, and solutions systems, and know how to align this understanding to the team mission and vision.Prioritize, plan, and execute product ideas, features, and enhancements.Provide background and guidance to client inquiries about functionality.

New York, Ny, Us

Understand the business and regulatory issues faced by entrepreneurial clients and deliver innovative solutions to complex challenges. Key tasks included:• Deliver strategic guidance to help clients achieve business objectives while staying ahead of evolving regulatory requirements and best practices.• Counsel clients in preparation for, and response to, regulatory examinations and requests from securities regulators.• Prevent and mitigate business, compliance, and regulatory risk.• Assist during regulatory examinations and respond to deficiency letters.• Prepare and amend disclosure documents for clients.• Draft agreements for clients to use with their clients and service providers.• Review and amend policies and procedures for clients.• Conduct AML/KYC audits and other forensic reviews.• Perform research and draft memoranda.• Adhere to, and continually enhance, business processes and project plans

New York, Ny, Us

Developed business and regulatory compliance content to help registered investment advisers. The content covers topics such as employment transitions, the broker protocol, standards of professional conduct, Form ADV disclosures, cybersecurity, diminished capacity, and custody. Key tasks included: • Support company spokespersons preparing messaging points, outlines, and presentations for their participation in media appearances and speaking engagements. • Prepare articles and white papers; draft comment letters to each major proposed law rule and regulation impacting our clients. • Review and revise content in response to changes in service offerings • Provide materials and conduct compliance training on an array of topics from manager due diligence to compliance testing

New York, Ny, Us

Provided the technology to empower regulatory compliance leaders who ensure fair markets and investor protection. Key tasks included:• Lead and develop the Early Adopters program with Marketing and IT.• Define the roadmap for our new flagship platform.• Communicate the new roadmap to staff, clients, prospects, and the public.• Serve as SME to our development team.• Document and provide client feedback to be a prime advocate for the user experience.• Demonstrate the new product and answer detailed questions.• Own the new product documentation including release notes and online help system.• Conduct employee and client training on new products.• Successfully launch first new product in eight years at annual user conference

New York, Ny, Us

Led our winning customer success team to a 97% renewal rate and 90% customer satisfaction rate. Team delivered exceptional service in delivering our product and vision. This included recommendations on the best practices for: • Personal Trade Surveillance• Code of ethics monitoring• Conflicts management • Maintenance of trading classifications • Restricted lists • Case management• Data aggregationDuring my years in customer success we went from one customer to 600 with 60,000 end usersOur customers are:• Major private equity firms• Hedge funds• Mutual fund complexes• Broker dealers• Investment Banks• Accounting firms• Law Firms I worked with our marketing team to develop compliance content for webinars, panels, and of course our annual compliance conference. Our themes focus on risk and liability with an agenda focused on SEC exam preparation and best practices for 1940 Act compliance.Finally, I was an advocate for our customers in working with our development team to enhance our software solution. I applied my expertise in accurately identifying enhancements and solutions as well as in developing specifications, test plans, and cases. Some of my notable accomplishments:• Earned yearly renewal rate of 97%• Achieved 90% customer satisfaction rate• Ran two-day user conference with 250 attendees• Developed webinars with up to 600 registrants on topics like CCO Liability and SEC Exams• Built customer success team that ranged from data operations to relationship management

Bachelor'S Degree, Political Science And Government

Doctor Of Law (Jd)

Master Of Business Administration (M.B.A.), Accounting