Kay Schenfeld Email & Phone Number

Glenview, Il

Lisle, Il

• Review reports including segregation/compliance reports/monthly compliance summaries/monthly custody management reports• Analysis of trading/valuation issues• Review/analyze fund and ETF accounting • Perform testing on historical data in the areas of trading/fund accounting /transfer agency • Evaluate stale priced security reports for trends• Conduct trend analyses on specific areas of concern • Forensic testing on fund/ETF portfolios• Ad-hoc projects including tracking of all Board approvals since cessation of 6 CEFS and 2 ETFs; fund policies and procedures; Form 3 & Form4 for 16 CEFs

Chicago, Il

• Reviewed and approved account opening documentation which included reviewing trust, partnership and LLC agreements• Approval of new account information forms• Approved accounts to trade in options and on margin• Reviewed and approved incoming and outgoing correspondence • Reviewed daily, monthly and quarterly surveillance reports • Helped write training material regarding the handling of advisory accounts • Participated in the revision of policy and drafting of best practices for surveillance on high yield/emerging market bonds and Investment Objectives• Provided required training to investment professionals and their support staff on departmental operations, compliance functions, procedures and other industry related matters• Trained new compliance associates on procedures• Participated in bi-monthly meeting with Branch Manager to post on significant issues that were identified in daily surveillance and various reviews

Chicago, Il

• Supported 150 agents, 2 broker/dealers, 3 investment advisors• Maintained blue sky registration for 3 mutual funds registered in 50 states• Assisted in upkeep of corporate records for parent corporation and 24 subsidiaries which included maintenance of minute books and filing of annual reports.• Corresponded with states and insurance companies to obtain corporate and individual insurance licenses and company appointments.• Reviewed and approved new accounts, account changes, fee waivers and trade cancel and rebills.Customer Service Department (August 1989 – November 1990)• Answered customer inquiries via telephone and mail daily• Researched customer problems received from client and regulatory bodies• Interacted with securities processing department, brokerage houses and public companies and affiliates

Ba, Economics

Education record

Education record