Nicholas Feltz, Cfa Email and Phone Number

• Working as a business subject matter expert in the creation of and transition to a new compliance monitoring engine• Review/interpret account documents and regulatory requirements to establish compliance rules and client restrictions• Maintain the integrity of the Compliance rules-based system for over 1,100 funds/accounts, and ensure updates are accurate and changes are timely• Analyze rule results to determine reasonability, accuracy, and completeness levels • Develop and maintain effective working relationships with business partners, including Portfolio Managers, Traders, Legal Department, and Account Executives, to facilitate the receipt and dissemination of information necessary for accurate completion of responsibilities• Prepare, review and distribute monthly and quarterly client certifications