Chief Operating Officer, Chief Compliance Officer
Colorado Capital Advisors
LEADERSHIP & OVERSIGHT:• Provided strategic leadership in operations, compliance, marketing, and investor relations. Emphasized internal controls, reporting, systems management, corporate infrastructure, and communications.FUND OPERATIONS:• Reconciled and approved monthly NAV, including partners' allocations and reports from the fund administrator.• Reviewed and maintained internal control policies and procedures, overseeing the annual review process.• Managed the annual audit, coordinating with auditors and fund admin for year-end financial statements and disclosures.INFORMATION TECHNOLOGY:• Enhanced productivity and compliance by upgrading internal systems for centralized access to corporate information (CRM and SharePoint).• Established email and instant messaging standards to meet regulatory obligations.• Ensured the veracity of the Business Continuation Plan through monitoring and annual testing.REGULATORY COMPLIANCE:• Developed and implemented a comprehensive compliance system, focusing on fund and firm compliance.• Coordinated all interactions with the SEC during the Firm's 2009 full audit exam.• Managed regulatory responsibilities for SEC and FINRA/IARD registrations, ADV filings, and annual offer.• Coordinated the development and periodic updates of the compliance manual and executed quarterly personal trade verification reviews.INVESTOR RELATIONS & MARKETING:• Served as the primary point of contact for investors.• Designed, developed, and managed all marketing aspects for Firm products, including pitch-books, attribution analysis, exposures, portfolio turnover, quarterly commentary, DDQ, and proposals.