Jacqueline Jacobs Email & Phone Number

New York, Ny, Us

New York, Ny, Us

Hands-on Director, with the responsibility to oversee and manage a range of organizational priorities as well as compliance with regulatory requirements, enforcing internal policies and procedures. Implement strategic improvements across daily operations, and create a positive and encouraging work environment. • Conduct vendor due diligence on third-party service providers (to assess compliance controls)and AML due diligence on investors.• Lead compliance training for investment professionals (in conjunction with third-partycompliance consultant) related to existing and emerging regulations.• Monitor potential conflicts of interest on boards and committee memberships.• Summarize regulatory issues and liaise with counterparties on the mechanics of transactions governed by U.S. securities laws.• Manage Code of Ethics program (address conflicts of interest) and compliance-testing programby conducting reviews of various regulatory topics to ensure the company’s compliance controls.• Update as necessary the Compliance Manual and Code of Ethics to focus on the complex functions within compliance, as well as the processes, roles, and responsibilities across the firm.• Ensure adherence with applicable rules and regulations by reviewing marketing materials and due diligence questionnaires. • Coordinate, review, and prepare regulatory filings (i.e., Form PF, Form ADV) and financial reporting obligations with international regulatory authorities.• Review and update the firm’s RTL (Restricted Trading List) to monitor position change.• Formulate regulatory responses to AIFMD issues impacting business by working in collaboration with counsel. • Conduct mock SEC examination (assess the firm’s ability to respond to examination information request letter, evaluate the approach, timeliness, and content of response) with a third-party compliance consultant.

New York, Ny, Us

Promoted to executive leadership role based on unparalleled performance and consistent track record as an individual contributor throughout previous years. Managed and executed employment staffing and benefits administration, overseeing Limited Partner investment portal website, and successfully gaining promotion to Director of Operations, Chief Compliance Officer within 18 months. • Facilitated and oversaw daily operations, collaborating with departmental leaders to monitor performance and productivity, identifying areas needing improvement and developing plans for implementation.• Hired and onboarded new employees, conducting in-depth interviews and thorough background checks, acting as key point of contact for all human resources related needs to provide direction and guidance.• Administered employee benefits through training and resources, creating excel spreadsheet to breakdown and explain premiums and employer/employee contributions, as well as address all employee benefits inquiries.

Intern turned full-time employee for exceptional performance. Supported the organizations executive administrator by performing various office management duties including filing, reporting, and providing clerical support, and answering/directing all incoming phone calls. • Prepared monthly expense reports and drafted client correspondence, proposals, and presentations.• Coordinated travel, calendars, on-and off-site meetings for executives and leadership, eliminating conflicts for smooth transitions.