Melissa Lo Email and Phone Number

• Work with Investment Teams to ensure adherence to the investment guidelines and restrictions for multiple asset classes in both pre and post trade environments • Review and coding of new and pre-existing applicable governing fund documents into multiple compliance systems (Sentinel, Aladdin, and Bloomberg)• Periodic review and research of best execution, tracking error, futures positions limit, and trade commissions reports• Train and guide new and existing members of the team to perform at expected standard levels• Communicate and cooperate with multiple teams at different levels in order to execute client expectations • Involved in testing of current system conversion from Sentinel to Charles River• Assist in oversight for the day-to-day operations of the team to ensuring all tasks, requests, and incidents are addressed in a timely manner

Review, research and resolve daily pre and post trade incidents relating to investment guidelines and restrictions on Bloomberg, Sentinel and Aladdin PlatformsReview governing documents for investment guidelines and restrictionsCode trade monitoring systems according to governing documents for different fund types (SMA, Commingled, Mutual)Review and approve the coding updates of others in regards to the investment guidelines and restrictions

Client reportingReview monthly and quarterly compliance guidelines for domestic and Canadian clientsReview and distribute monthly and quarterly attestations for clientsReview and respond to client ad hoc requestsWork with multiple teams in order to compile and review information accuratelyCreated and actively maintain inventory of all deliverables for each client Created and actively maintain procedures for all clientsCreated processes and new procedures to efficiently complete client deliverables in a timely manner

• Preliminary review of daily derivative swap processes and tasks• Reconcile in house commodity, equity, fixed income and CDS swap exposure and collateral balances against custodian and counterparty on a daily basis• Collateralize swap positions in accordance with CSA agreements• Process swap inceptions, terminations, rolls, resets and maturities as well as initial fund set-up• Preliminary review of counterparty confirmations for swap inceptions and terminations• Maintain an ISDA database also containing account and tax form information• Set up an external reconciliation system to match in house collateral balances against counterparty collateral balances and created reports off of the data• Documented detailed procedures for all group tasks to facilitate cross-training within the group• Assisted in internal and external year end audit review

• Created multiple databases to facilitate tracking and analyzing revenues and expenses• Analyze revenues and invoices of multiple third party vendors • Create monthly and quarterly reports to be published and analyzed within the company

• Completed daily reconciliations• Assisted in setting up a database to reconcile in house fund exposure to counterparty• Archived documents to assist with audit review and compliance