Joan Dowd Email & Phone Number

► GOVERNANCE: Presented to mutual funds Boards of Directors on Boston Financial Data Service’s transfer agent regulatory initiatives and compliance with policies and procedures enabling Directors to be completely informed about the transfer agent role. Periodically met with Mutual Funds CCO’s and Fund Executives on due diligence and regulatory topics.► REGULATORY AFFAIRS: Monitored and analyzed new and existing regulations, and created new policies, processes, and procedures to ensure compliance. Examples include Money Market reform proposal, FATCA regulations, and Cost Basis. Developed a Federal Securities Laws Mapping Matrix for management, mutual fund customers, and CCOs. Provided regulatory support and guidance to the mutual funds. Examples include areas such as Rule 10b-10 (confirmation of transactions), Rule 22c-2 (market-timing), Regulation S-ID (Identity Theft), and the Pay to Play Rule. ► CORPORATE COMPLIANCE: Launched Boston Financial Data Services’ first ever Transfer Agent Compliance Department to support mutual fund clients and ensure transfer agent compliance with regulations. Created and led a team to develop a Compliance Program in response to Rule 38a-1. Subsequently, a secured website (Compliance Corner) was developed to provide comprehensive access to the 38a-1 program components, as well as value adds such as the transfer agent manual, compliance bulletins, web-cast presentations, third party auditor reports, record retention, business continuity and disaster recovery.

Listed skills include Financial Services, Transfer Agency, Mutual Funds, Risk Management, and 15 others.