Lisa Kispert, Cfe Email and Phone Number

Founded in 1972, Campbell & Company is a pioneer in absolute return investment management, specializing in systematic managed futures and equity market-neutral strategies. Performed in a variety of functions and roles; selected examples and responsibilities are outlined below.Internal AuditCollaborated with team members in the design and creation of the Internal Audit Department. Designed a risk-based annual audit plan, ensured compliance with applicable laws, regulations, policies,… Show more Founded in 1972, Campbell & Company is a pioneer in absolute return investment management, specializing in systematic managed futures and equity market-neutral strategies. Performed in a variety of functions and roles; selected examples and responsibilities are outlined below.Internal AuditCollaborated with team members in the design and creation of the Internal Audit Department. Designed a risk-based annual audit plan, ensured compliance with applicable laws, regulations, policies, and procedures. • Evaluated the adequacy of internal controls, performed testing and provided recommendations to ensure a robust control environment, resulting in unqualified opinions and no material findings.• Documented, prepared and reviewed written reports summarizing results of tests performed and presented results to the Audit Committee.• Led contract employees and external auditors.ComplianceBuilt and maintained an understanding of regulations affecting the registered CTA and CPO, SEC Registered Investment Advisor, and FINRA registered Broker/Dealer. Played a key role in the scheduling and presentation of annual compliance training to business units. Managed the Employee Personal Trading program.• Reviewed marketing materials to ensure compliance with regulatory standards and firm policy.• Coordinated regulatory licensing for Campbell entities and employees.Risk AssessmentDesigned and implemented the Enterprise Risk Assessment process, report risk assessment results to the Management Committee, and maintained the Enterprise Risk Assessment results. Due DiligenceEstablished and maintained a Due Diligence program to manage the flow of due diligence and RFP requests and lead the completion of due diligence responses in an efficient, consistent, and timely manner.Vendor ManagementGenerated and upheld a Vendor Management program to evaluate, track, and measure third-party risk and assess its impact on all aspects of the business. Show less

The Office of Legislative Audits, part of the Maryland General Assembly’s Department of Legislative Services, provides independent, objective, and non-partisan audits and evaluations of State government agencies and local school systems. These audits assist the General Assembly in its oversight responsibilities and lead to improved performance throughout State government. Successfully completed fiscal compliance, performance, and financial statement audits of State government agencies,… Show more The Office of Legislative Audits, part of the Maryland General Assembly’s Department of Legislative Services, provides independent, objective, and non-partisan audits and evaluations of State government agencies and local school systems. These audits assist the General Assembly in its oversight responsibilities and lead to improved performance throughout State government. Successfully completed fiscal compliance, performance, and financial statement audits of State government agencies, State Universities, and local boards of education under the supervision of the Audit Manager.• Reviewed agency procedures and internal controls, evaluating outcomes, and making changes as needed.• Performed audit tests to evaluate internal controls. • Interviewed agency personnel, documented outcomes, and evaluated internal controls. • Prepared and completed work papers to document audit procedures performed. • Completed assignments within allocated budget guidelines and met deadlines. • Developed and documented audit findings and provided recommendations to improve operations. • Conducted discussion conferences with agency personnel to discuss audit scope and present findings. Show less