Debbie Van Der Sanden Email & Phone Number

Utrecht, Netherlands

Amsterdam, North Holland, Netherlands

Lead a team of 4 professionals in the execution of Control Room and Personal Account Dealing (PAD) Compliance activities to manage risks associated with business and personal conflicts of interest, help the business safeguard inside information and prevent market abuse. Team activities include:• Providing pre-clearance and monitoring of employee personal investment transactions to help ensure they are conducted in compliance with the Bank’s PAD policy. • Managing Control Room processes such as conflict clearance, wall crossings, research clearance, and Restricted List maintenance.

Colorado, United States

Led the team of skilled professionals of the Fixed Income, Derivatives, and Global Asset Allocation Advisory Compliance group. Transitioned processes and systems from OppenheimerFunds to Invesco after the 2019 acquisition before moving to the Netherlands.• Drafted policies required by Rule 2a-7 to support the launch of two private Money Market Funds within an accelerated timeframe. • Led the transition of sub-advised client reporting to the Invesco process and prepared supporting reports.• Liaised with external auditors on conversion-related queries.

Colorado, United States

Led a team of 5 skilled professionals in 4 U.S. locations who performed portfolio investment guideline monitoring and advisory compliance at OppenheimerFunds and Invesco after 2019 acquisition. Managed risk through daily monitoring and performed risk assessments by analyzing compliance, business, and industry operations. Developed relevant policies and procedures. Liaised with members of technology, trading, legal, data management, client services, portfolio management, and fund treasury through daily queries as well as committees and working groups. Demonstrated workflows and represented compliance during meetings with regulators, auditors, and Denver Board Audit Committee. Prepared supporting materials for regulatory board reporting as well as audits, exams, and inquiries. Conducted training sessions for investments team staff that helped ensure a strong culture of compliance. Led and participated in a wide variety of technology, process, and organizational change projects in response to regulatory changes, product launches, system conversions/upgrades, and corporate acquisitions. Recent initiatives include, for example:• Technology and compliance program integration after investment adviser acquisitions, ranging from $3 billion to $230 billion assets under management.• Implementation of a firm-wide Liquidity Risk Management Program.• Onboarding of a $12 billion cash strategies investment management team onto a new trading/compliance monitoring platform while developing new data attributes and pre-trade compliance rules resulting from regulatory changes.• Creation of new processes and development of an RPA/AI tool to perform portfolio position name searches against global regulatory AML sanctions lists (e.g. OFAC, EU, FATF), including integrated workflow maintenance and auditing tools.

Managed sub-advised/institutional client due diligence certifications and transaction reporting. Monitored asset coverage requirements, derivatives positions, batch-compliance system exceptions, and trades for compliance with regulatory limits and restrictions on day-to-day basis in line with internal policies, prospectus/SAI investment rules, and regulations. Used an integrated approach to create numerous detailed reports.• Executed compliance rule coding and maintenance on Charles River Investment Management System (CRD) for US and Global (e.g. UCITS) retail mutual funds and other investment products such as ETFs, private funds, separate accounts, CLOs, and SPVs.• Responded to inquiries and resolved guideline breaches by coordinating with investment operations analysts, portfolio managers, legal representatives, and traders.• Ensured timely completion and submission of foreign disclosures of substantial ownership.

Answered 50+ calls per day from mutual fund shareholders, retirement plan participants, and financial advisors. Calls were broad in scope, ranging from general account inquiries to complex problem research and resolution. • Received numerous promotions, commendations, and incentive bonuses for performance related to National Quality Review (“NQR”) quality standards and departmental goals.• Led classes, as an adjunct trainer, for content related to the Portfolio Builder program, Preferred Partners department, 529 plans, and new hire training.• Assisted with the monitoring of customer service phone calls to ensure NQR quality standards were met.