Compliance Risk Management Consultant
Current
First Dimensions Llc
Jul 2016 - Present
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Marilyn Smith Email & Phone Number
Governance Risk Compliance
at
First Dimensions LLC
LinkedIn matched
✓ Verified Jun 2026
3 data sources
Profile completeness 86%
Current company
First Dimensions LLC
Role
Governance Risk Compliance
Location
Greater Chicago Area, United States, United States
Who is Marilyn Smith? Overview
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Quick answer
Marilyn Smith is listed as Governance Risk Compliance at First Dimensions LLC, based in Greater Chicago Area, United States, United States. AeroLeads shows a matched LinkedIn profile for Marilyn Smith.
Marilyn Smith previously worked as Compliance Risk Management Consultant at First Dimensions Llc and Head US Risk Governance and Policy at Bmo Financial Group. Marilyn Smith holds Bs Accounting, Accounting And Computer Science from Loyola University Chicago.
Profile bio
About Marilyn Smith
Marilyn Smith is a Governance Risk Compliance at First Dimensions LLC.
Current workplace
Marilyn Smith's current company
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First Dimensions Llc
5 roles
Marilyn Smith work experience
A career timeline built from the work history available for this profile.
Head Us Risk Governance And Policy
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.
Nov 2010 - Jun 2016
Vice Presdent & Associate Chief Compliance Officer
Bmo Harris/ Bmo Financial Corp.
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.
Sep 2005 - Nov 2010
Director Compliance Risk Management
Strong Capital Management
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.
Jul 2003 - May 2005
Vice President & Regional Compliance Risk Manager
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.
Jun 1998 - Jul 2003
2 education records
Marilyn Smith education
Bs Accounting, Accounting And Computer Science
Master Of Business Administration (Mba), Management Information Systems, General
FAQ
Frequently asked questions about Marilyn Smith
Quick answers generated from the profile data available on this page.
What company does Marilyn Smith work for?
Marilyn Smith works for First Dimensions LLC.
What is Marilyn Smith's role at First Dimensions LLC?
Marilyn Smith is listed as Governance Risk Compliance at First Dimensions LLC.
Where is Marilyn Smith based?
Marilyn Smith is based in Greater Chicago Area, United States, United States while working with First Dimensions LLC.
What companies has Marilyn Smith worked for?
Marilyn Smith has worked for First Dimensions Llc, Bmo Financial Group, Bmo Harris/ Bmo Financial Corp., Strong Capital Management, and Bank One.
How can I contact Marilyn Smith?
You can use AeroLeads to view verified contact signals for Marilyn Smith at First Dimensions LLC, including work email, phone, and LinkedIn data when available.
What schools did Marilyn Smith attend?
Marilyn Smith holds Bs Accounting, Accounting And Computer Science from Loyola University Chicago.
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