Marilyn Smith Email & Phone Number

United States

Chicago, Il

Developed and maintained the U.S. enterprise-wide risk management framework and policy infrastructure. Developed the risk committee structure and strategic agendas for the Board of Directors Risk Management and Risk Oversight Committees. Lead and managed risk-related audit and regulatory requests, responses and follow-up. Developed cross-functional risk oversight structure, foundational governance principles and monitoring guidelines for Operational Risk, Credit Risk, Market Risk and… Show more Developed and maintained the U.S. enterprise-wide risk management framework and policy infrastructure. Developed the risk committee structure and strategic agendas for the Board of Directors Risk Management and Risk Oversight Committees. Lead and managed risk-related audit and regulatory requests, responses and follow-up. Developed cross-functional risk oversight structure, foundational governance principles and monitoring guidelines for Operational Risk, Credit Risk, Market Risk and Compliance Risk as components of an enterprise-wide risk management and oversight framework and in connection with acquisition and strategic integration. Show less

Chicago

Served as Chief Compliance Officer for Harris Investment Management Company developing and implementing SEC 1940 Act Investment Adviser and 38a-1 Compliance Programs and plans. Conducted Annual Compliance Program Testing and fillings of form ADV. Managed team of investment compliance professionals monitoring for regulatory compliance requirements for mutual funds, separately managed accounts, anti-money laundering and trade,account and investment restrictions. Developed and implemented… Show more Served as Chief Compliance Officer for Harris Investment Management Company developing and implementing SEC 1940 Act Investment Adviser and 38a-1 Compliance Programs and plans. Conducted Annual Compliance Program Testing and fillings of form ADV. Managed team of investment compliance professionals monitoring for regulatory compliance requirements for mutual funds, separately managed accounts, anti-money laundering and trade,account and investment restrictions. Developed and implemented policies and procedures to address regulatory and SOX requirements, including conflicts of interest, trade and broker allocations, new products, and due diligence. Chaired customer due diligence meetings and proxy voting committee. Developed and managed reviews and testing procedures for third party suppliers/vendors/outsourcing; FINRA Broker-Dealer rules and Trust Department conflicts and compensation. Show less

Menomonee Falls, Wisconsin

Developed, implemented and managed team of Investment Compliance professionals monitoring activities of the investment adviser, retirement plan services, transfer agent, mutual funds and broker/dealer. Monitored changes in the securities and investments legal and regulatory environment including SEC 1940 Act, Rule 38a-1, 1933& 1934 Securities Act, FINRA (NASD) regulations, and registrations and applicable statues. Administered Code of Ethics program. Served as member of various investment… Show more Developed, implemented and managed team of Investment Compliance professionals monitoring activities of the investment adviser, retirement plan services, transfer agent, mutual funds and broker/dealer. Monitored changes in the securities and investments legal and regulatory environment including SEC 1940 Act, Rule 38a-1, 1933& 1934 Securities Act, FINRA (NASD) regulations, and registrations and applicable statues. Administered Code of Ethics program. Served as member of various investment committees. Served as liaison between firm management and regulatory examiners and/or external providers. Developed and implemented policies and procedures to mitigate applicable risks. Conducted annual compliance tests. Show less

Chicago

Developed, implemented and maintained compliance risk management programs for Fiduciary and Investment activities of the Trust Company and the Investment Management Company including collective investment funds, mutual funds, ERISA accounts, custody accounts. Managed team of compliance professionals responsible for administering tests designed to identify risks and recommend solutions.

Bs Accounting, Accounting And Computer Science

Master Of Business Administration (Mba), Management Information Systems, General