John Healy Email & Phone Number

Walnut Creek, CA

San Francisco, CA

• Performed the day-to-day oversight of the compliance program for BancWest Investment Services’ (“BWIS”) Investment Advisory Solutions (“IAS”) Program and acted as the compliance advisor to BWIS’ IAS Program..
• Drafted and administered BWIS’ Code of Ethics for over 300 access persons.
• Occupied the role of Business Owner in BWIS’ initiative of complying with the SEC’s adoptions of Regulation Best Interest and Form CRS Relationship Summary which successfully met the SEC mandated June 30, 2020.
• Coordinated of the responses and the delivery of the requested items for BWIS regulatory examinations.
• Performed the annual compliance review of the investment advisory activities of Bank of the West’s Global Investments and Fiduciary Solutions Division (“GIFS”) along with drafted and presented the annual compliance.
• Conducted annually the risk assessments in connection with the applicable SEC regulations to various Bank of the West business lines to ensure existing controls and procedures met the requirements of the applicable.

Chicago, IL

• Executed the Nuveen Fund Advisors’ (the investment advisor to the Nuveen Family of Funds) compliance oversight program. The program’s accountabilities included the administration of the compliance questionnaire process.
• Compiled and presented to senior management the annual assessment report of Nuveen Fund Advisors’ compliance oversight program.
• Composed the annual Nuveen Funds’ best execution report for the benefit of the Nuveen Funds’ Board.
• Coordinated the Nuveen Funds’ Form N-PX annual filing with the SEC and the posting of the Funds’ proxy voting records on the Nuveen Investments’ website.
• Performed the reviews of Nuveen Asset Management’s institutional marketing materials.
• Co-project manager on the Consumer Information Security Project in order to assess the current state of consumer information security within the organization; based on our findings, an annual training program was.

Seattle, WA

• Performed the oversight of the investment advisory compliance program focused on the WM Group Funds and the institutional client business. Developed and delivered the annual compliance training as well as provided.
• Developed and implemented both WM Advisors’ Compliance Program in accordance with Rule 206(4)-7 of the Investment Advisers Act; as well as the firm’s Code of Ethics in accordance with Rule 204A-1 of the Investment.
• Conducted the first annual compliance program review, as well as developed the compliance program review’s testing methodology and composed the annual compliance report.
• Presented the Annual Code of Ethics and Annual Insider Trading Reports to the WM Group of Funds Board along with responsible for the production of quarterly compliance reports to the Board.
• Worked as intermediary between transitional Portfolio Managers and WM Advisors’ Portfolio Managers for the onboarding new sub-advisory business.
• As IT business liaison, implemented new portfolio compliance system, portfolio modeling application and electronic trading application.