Mark Lauerman Email & Phone Number

New York, Ny, Us

Baltimore, Maryland, Us

• Ensured compliance with all applicable regulatory, prospectus, client-directed, internal investment and operational restrictions for all investment portfolios managed by TRP• Assisted in the creation, maintenance, and enhancement of firm-wide investment rule library (17,000+ active rules) within TRP’s order management system (Charles River)• Collaborated with various business units to facilitate the efficient onboarding of new accounts as well as amendments to existing accounts, ensuring thorough compliance guideline coding and testing prior to inception deadlines• Evaluated the impact of regulatory changes, new investment strategies, and data modifications on the firm’s rule library

Chicago, Il, Us

• Conducted pre-trade and post-trade compliance checks for firm-wide trading of over 450 client guidelines, collaborating with portfolio managers to ensure ongoing compliance with all investment guidelines, internal restrictions, and applicable regulations• Assisted with the preparation and presentation of monthly materials to the executive risk committee, in which updates on key performance indicators, discussions on top department risks, and an overview of significant risk events were provided• Maintained firm-wide oversight of trade errors and process breakdowns within OneSumX (OSX) risk management system, documenting these instances and ensuring their proper resolution (in the instance of trade errors, this included trade error calculation analysis and facilitating client reimbursements by the Operations team)• Aided in the training and professional development of junior team members, including new hires• Co-chair of a company-wide committee responsible for maintaining and reviewing LGIMA’s supplier risk management framework as well as producing and reviewing annual risk assessments of vendors• Assisted in the continued optimization of the investment rule library, consolidating similar rules and automating manual rules where possible• Aided in the completion of client questionnaires, generating client account compliance certifications for existing clients• Assisted with the initial creation and ongoing maintenance of over 300 client restricted trading lists

Chicago, Il, Us

Chicago, Il, Us

• Coordinate with audit team members to conduct examinations of member firms' overall business and financial operations (promotional material, supervision of branch offices, financial statements, registration, etc.), ensuring compliance with all NFA and CFTC regulations • Analyze, identify, and escalate potential fraud or rule violations to appropriate members of management• Regularly communicate with C-level executives during examinations, discussing member firms' business operations, presenting audit findings, and discussing any necessary corrective action• Review work of less senior staff and assist in ensuring work is completed correctly and timely• Assist in the conducting of interviews of potential new hires

Chicago, Il, Us

Bethesda, Maryland, Us

• Conduct financial analysis of utility allowance calculations for Section 8 housing contracts and input calculations into Excel sheets as well as a company database• Review and upload property specific documentation for Section 8 housing contracts to a company database

East Lansing, Mi, Us

• Member of a student management team that controls approximately $5 million in asset value• Pitch buy and sell recommendations on equity positions, utilizing Bloomberg terminals and Morningstar services to conduct fundamental company analysis• Create valuation models to analyze financial positions of small cap value stocks

Hanover, De

Hopkins, Minnesota, Us