Partnered with the Global Investment Management Core Operations to assist in all aspects of compliance with the Investment Company Act and the Investment Advisers Act for all proprietary and sub-advised mutual funds that are managed by the Asset Management division.• Perform surveillance monitoring for compliance with regulations, prospectus and SAI guidelines.• Chosen to prepare compliance reports on a daily, monthly and quarterly basis. Built trusting relationship with Indy High Yield and Insurance team in Columbus.• Assist in the analysis and implementation of new regulatory requirements and industry developments affecting the funds.• Analyze and implement new business initiatives, new products, and new instruments.• Coordinate materials for regulatory exams and regulatory inquiries relating to the funds Prepare quarterly materials for the Board of Trustees meeting.

Developed and managed 15 institutional clients. Grew treasury, benchmark and callable agencies by developing new business, providing timely market intelligence, and superb quality service along with liquidity for the firm’s accounts. Developed relationships through cold calling regional names for Agency business resulting in 15 new clients for the firm. With on going focused relationship management, new clients continued to evolve into solid revenue producing accounts.Comprehensive product knowledge (callable agencies) allowed for successful presentations to clients resulting in being able to move large blocks of bonds.

Provided on-site customer support for brokerage trading software to accounts in the New York metro area including UBS Warburg, JP Morgan, Daiwa, and Mizuho. Diagnosed and identified software problems on trading floor and trained brokers, traders and support staff on system operation and software applications. Called on and supported NYC Clients with on-site visits with traders to explain software benefits and to resolve problems. Able to troubleshoot technical problems directly with Kestrel’s technical support staff on behalf of our clients allowing for smooth communications with the traders who were using the software.

Managed relationships with three high-level government entities in State of Ohio and maintained daily contact with lending officers at major banks in Ohio for the purpose of approving reduced lending rates. Developed thorough working knowledge of various investment codes, state accounting, government and SEC trading rules and regulations.Analyzed investment trade data and performed due diligence on loan applications from the banks which allowed for expediting the process in a more timely manner enhancing the reputation of the Treasurer’s Office within in the banking community.