Maureen Ocampo, Cfa, Crcp® Email & Phone Number

Los Angeles, Ca, Us

Oversee $17+ billion AUM investment management firm's compliance program. Firm's client base includes US, EU, and Japan domiciled institutional investors using separately managed accounts, private funds, UCIT, and mutual fund platforms. Compliance program focuses primarily on SEC, ERISA and EU compliance, as well as other jurisdictions as required. As CCO, develop, improve, test and oversee internal compliance policies and procedures with the goal of ensuring a culture of compliance and addressing and mitigating existing and potential conflicts of interest. Work with parent firm (Principal Asset Management) to ensure continuity and that interpretations are harmonious across the units. Additionally, work with internal business heads to bring compliance's voice and oversight into existing and future projects.

Los Angeles, California, Us

Oversee $5+ billion AUM firm's regulatory issues, predominately focused on SEC, CFTC/NFA and ERISA compliance, as well as develop, test and enforce internal policies and procedures on behalf of the firm.

Los Angeles, California, Us

Responsible for ensuring that policies and procedures were in compliance with all applicable guidelines of the SEC, CFTC/NFA, ERISA, and NASD on behalf of $1.5 billion AUM fund-of-funds. Performed back office evaluation of investment managers' trading, settlement and pricing procedures as part of the firm's new manager due diligence processes.