Michael A. Cozzi

Michael A. Cozzi Email and Phone Number

Compliance Manager @ Harbor Capital Advisors, Inc.
Chicago, IL, US
Michael A. Cozzi's Location
Greater Chicago Area, United States, United States
Michael A. Cozzi's Contact Details
About Michael A. Cozzi

MUTUAL FUND OPERATIONS, COMPLIANCE AND ADMINISTRATIONI am a seasoned and accomplished Mutual Fund Operations and Compliance Professional, with over 25 years of developing, standardizing, and continuously improving internal controls, processes, and procedures that enhance mutual fund operations and compliance, which ultimately benefits the underlying mutual fund investors.My background includes extensive experience working with subadvised mutual funds and CITs, focusing on various compliance-related matters, as well as overall subadvisory relationships. Also, I have several years' experience of vendor oversight, in the areas of legal/compliance, transfer agency, fund administration and fund accounting. Further, I have considerable knowledge of intermediary relationships, in terms of administrative agreements, trading agreements, and in the calculation and accurate payment of intermdiary invoices.I have excelled at aspects of daily fund compliance and governance including: CIP verification of new client relationships, monitoring daily shareholder transactions for potential suspicious activity, ensuring accuracy in custody account reconciliation, reviewing of daily fund valuations, audit of third-party invoices, and validating fund distributions. I continously maintain knowledge of both internal and external compliance updates/changes, government regulations, industry best practices, and cross-departmental processes to minimize risk exposure. I am a truly dedicated professional who thrives in fast-paced environments where innovation and practicality are equally valued.MY AREAS of Expertise include:* Subadvisory Relationships* Multi-Manager, Sub-advised Mutual Funds * Operational Excellence * Board Reporting, with particular focus on compliance-related matters.* Vendor Oversight* Intermediary Relationships* Regulatory (SEC) Filings, including: Forms N-PORT, N-MFP, N-CEN, and 13F* Rule 22c-2 Compliance (Market Timing)* Anti-Money Laundering Programs* Portfolio Compliance* Various Mutual Fund Audits, including: AML, Fund Accounting and Transfer Agency* Transaction Review* Project Management

Michael A. Cozzi's Current Company Details
Harbor Capital Advisors, Inc.

Harbor Capital Advisors, Inc.

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Compliance Manager
Chicago, IL, US
Website:
harborcapitaladvisors.com
Employees:
285
Michael A. Cozzi Work Experience Details
  • Harbor Capital Advisors, Inc.
    Compliance Manager
    Harbor Capital Advisors, Inc.
    Chicago, Il, Us
    View
  • Harbor Capital Advisors, Inc.
    Compliance Officer
    Harbor Capital Advisors, Inc. Mar 2022 - Present
    Chicago, Il, Us
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  • Harbor Services Group
    Manager - Control Reconciliation, Ta Risk & Compliance
    Harbor Services Group Jan 2020 - Mar 2022
  • Morningstar
    Operations Manager - Investment Management
    Morningstar Jun 2018 - Jan 2020
    Chicago, Il, Us
    Co-managed the fund operations for Morningstar Funds Trust, a family of 9 sub-advised mutual funds, with a total of $2.5 billion in assets currently. Oversaw the Fund Administrator’s Transfer Agency, Fund Accounting, and Custody service teams. Managed the daily cashflow allocation process with the Funds’ Adviser, communicating accurate instructions to 21 different fund subadvisers. Managed the process of establishing new intermediary relationships for custodians to access funds, including: reviewing shareholder service agreements with Funds’ Counsel, reviewing due diligence (e.g. FINRA and OFAC checks) materials to ensure regulatory compliance, and working with Transfer Agent on the accurate set up and daily trading of custodians’ omnibus accounts. Provide guidance to Fund Accounting on daily fund valuation process, including decisions on fair value pricing. Produce various reporting for quarterly Fund Board Meetings, and present to Funds’ Board, providing updates on both transfer agent and fund accounting activities.
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  • Northern Trust Asset Servicing
    Vice President - Client Service Delivery Manager - Global Fund Services
    Northern Trust Asset Servicing Feb 2017 - Jun 2018
    Chicago, Us
    Senior Team member responsible for overall client service delivery across all applicable products and services (e.g. Fund Accounting, Financial Reporting, Compliance, Tax, Custody, and Fund Board Reporting) for the largest ‘40 Act Client that Northern Trust services. Coordinated the production and ensure the quality of applicable Client Board Meeting materials and presentations; attend quarterly Client Board Meetings in person, and present the “Administrator’s Report” to the Board. Project lead on all key client initiatives, including: new fund launches, fund terminations, subadvisor additions, and subadvisor terminations. Responsible for keeping the client informed of progress toward all project completions, as well as keeping all service teams engaged and making sure they meet their respective deliverables. Led bi-monthly client service calls, and coordinate all on-site client visits, including annual client due diligence visit.* Managed various aspects of successful conversion of new Client to Northern Trust as Fund Administrator; Division earns over $7 million of revenue annually through this client relationship. * Continued excellent client service provided to new Client over the past year is now leading to cross-selling opportunities of other Northern Trust products and services, potentially leading to an additional $500,000 in annual revenues
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  • Amg Funds (Formerly Aston Asset Management)
    Mutual Fund Operations, Compliance And Administration
    Amg Funds (Formerly Aston Asset Management) Mar 2012 - Feb 2017
    Greenwich, Ct, Us
    Provided expertise in mutual fund operations, compliance, administration, and sales support, driving improvement in systems, profitability, and partner engagement. Authority for services provided by Fund and Tax Administration Departments, including managing dividend and capital gains distributions for 28 funds. Liasion between Funds' Advisor and 17 Fund Subadvisors, including work on daily cash flows, and portfolio compliance issues. Created Memos for quarterly Board Meetings, and produced and/or audited various Board Reports for inclusion in Board materials, with an emphasis on compliance-related matters.Major Accomplishments:* Initiated use of Equalization tax adjustment for funds with high capital gains, retaining $300M+ in assets for 2 consecutive years. * Audited 300+ revenue sharing payments totaling $12M annually, caught calculation errors made by financial intermediaries in the billing process, and saved $50K+ annually.
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  • Dimensional Fund Advisors
    Senior Operations Associate
    Dimensional Fund Advisors 2011 - 2012
    Austin, Tx, Us
    Held authority over operational functions and issues for the launch of US mutual funds. Made decisions on special requests from clients, banks, and broker/dealers such as resolving service issues, revising account information, updating dividend options, and re-registering accounts. * Drove successful launch of three US mutual funds in 2011 that generated $70M in new assets within the first three months of activity.* Ensured all business agreements assigned by Head of Operations closed on time and without issue, garnering $500M+ in new assets.
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  • Pacific Life
    Senior Market Research Analyst
    Pacific Life 2006 - 2011
    Newport Beach, Ca, Us
    Provided key market insights while compiling overall market and mutual fund competition data, preparing written proposals of product upgrades and innovations to senior management, and ensuring compliance in marketing pieces. * Developed a Mutual Fund Competition Intranet site that included dashboards on 10 biggest competitors in the Risk Fund-of-Funds Market, side-by-side comparisons against each competitor, and other key information. Led to highest annual mutual fund sales in firm history. * Overhauled the process of ensuring accurate and current disclosure language, cutting 4 days from preparation time and saving $10K+ annually.
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  • Dimensional Fund Advisors
    Senior Operations Coordinator
    Dimensional Fund Advisors 2005 - 2006
    Austin, Tx, Us
    Simultaneously managed various aspects of daily mutual fund operations, including the production of detailed cash flow reports used by portfolio managers while also acting as client relationship manager for multi-million dollar institutional clients. * Established remote connection with vendor’s Transfer Agent System for efficient reconciliation of internal shareholder account records and vendor records.* Cultivated partnership with the Relationship Manager of the Chilean subsidiary, increasing the number of new accounts and assisting with securing new assets in excess of $200M from Latin American clients.
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  • Aston Asset Management, Llc (Formerly Abn Amro Investment Fund Services, Inc.)
    Institutional Client Service Manager
    Aston Asset Management, Llc (Formerly Abn Amro Investment Fund Services, Inc.) 1999 - 2005
    Promoted from Operations Coordinator (1999-2003), having played an instrumental role in mutual fund operations, compliance, authenticating fund holdings and performance, and acting as primary liaison between back offices and funds’ transfer agent. Ultimately functioned as primary relationship manager for 6 money market funds encompassing $4B in assets. * Solved various operational issues and saved a $250M+ LaSalle Bank client that was threatening to move their account. * Researched and selected electronic trading platform that best distributed money market funds; within first 6 months of activation, funds earned $100M in new assets through the platform and another $200M in assets were retained.

Michael A. Cozzi Skills

Mutual Funds Asset Management Project Management Fund Administration Fund Operations Compliance Institutional Client Service Mutual Fund Board Reporting Auditing Sales Support Transfer Agency Mutual Fund Distributions Money Market Funds Trade Operations Data Mining Fund Of Funds Global Custody Nscc Operations U.s. Sec Filings Sec Regulations Performance Reporting Morningstar Direct Zephyr Style Advisor Bloomberg Terminal Bluesky Reporting Escheatment Finra Financial Services Due Diligence Series 7 Series 63

Michael A. Cozzi Education Details

  • W. P. Carey School Of Business – Arizona State University
    W. P. Carey School Of Business – Arizona State University
    Finance

Frequently Asked Questions about Michael A. Cozzi

What company does Michael A. Cozzi work for?

Michael A. Cozzi works for Harbor Capital Advisors, Inc.

What is Michael A. Cozzi's role at the current company?

Michael A. Cozzi's current role is Compliance Manager.

What is Michael A. Cozzi's email address?

Michael A. Cozzi's email address is mi****@****ail.com

What is Michael A. Cozzi's direct phone number?

Michael A. Cozzi's direct phone number is +171479*****

What schools did Michael A. Cozzi attend?

Michael A. Cozzi attended W. P. Carey School Of Business – Arizona State University.

What skills is Michael A. Cozzi known for?

Michael A. Cozzi has skills like Mutual Funds, Asset Management, Project Management, Fund Administration, Fund Operations, Compliance, Institutional Client Service, Mutual Fund Board Reporting, Auditing, Sales Support, Transfer Agency, Mutual Fund Distributions.

Who are Michael A. Cozzi's colleagues?

Michael A. Cozzi's colleagues are Mackenzie Schuler, Lisa Whitley, Marlene Snow, Tatiana Fernandez Piedrahita, Jamie Lee, Allyson Green, Jake Schurmeier.

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