Richard Miller

Richard Miller Email and Phone Number

Vice President at J.P. Morgan Private Bank @ J.P. Morgan
Richard Miller's Location
Stamford, Connecticut, United States, United States
Richard Miller's Contact Details

Richard Miller personal email

n/a

Richard Miller phone numbers

About Richard Miller

Experienced Operational Due Diligence and Compliance Professional. Responsible for the oversight and administration of compliance and operational due diligence for third party investment advisers. Due diligence includes initial and on-going reviews of investment managers to ensure sufficient operational and compliance controls are in place as required by program and regulatory guidelines.

Richard Miller's Current Company Details
J.P. Morgan

J.P. Morgan

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Vice President at J.P. Morgan Private Bank
Richard Miller Work Experience Details
  • J.P. Morgan
    Vice President, Operational Due Diligence
    J.P. Morgan Apr 2023 - Present
    New York, Ny, Us
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  • Northern Trust Investments, Inc
    Vice President
    Northern Trust Investments, Inc Sep 2015 - May 2023
    Chicago, Illinois, Us
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  • Guggenheim Partners
    Senior Associate, Compliance Officer
    Guggenheim Partners May 2014 - Aug 2015
    New York, New York, Us
    Provide ongoing compliance and regulatory advice to business personnel on general compliance matters and projects related to the mutual fund business, including performance of compliance surveillance activities, investment guideline monitoring and various fund policies under Rule 38a-1 and Rule 206(4)-7 compliance programs.Assist the Chief Compliance Officer – Mutual Funds in preparing various board reports and communications for proprietary and sub-advised funds including monthly, quarterly and annual compliance checklists and documentation.Assist with various compliance and governance matters relating to exchange-traded and non-exchange traded registered closed-end funds.
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  • Ge Asset Management
    Compliance Analyst
    Ge Asset Management May 2011 - May 2014
    Boston, Ma, Us
    * Serve as liaison to Fixed Income Portfolio Management and Trading functions regarding adherence to client specific guidelines * Quarterly Board Reporting* Lead Compliance team efforts, coordinating with Legal, Portfolio Management and other areas as necessary, for new client on-boarding, including IMA / Guideline review, matrix creation, rule coding and testing * Perform daily compliance reviews as well as periodic client account reviews, research issues and report summary findings to appropriate parties both internal and external * External and internal client reporting- Prepare all Securities Valuation Office (SVO) filings- Prepare all relevant regulatory reporting filings, as required* Represent Compliance in business-wide initiatives* Support key compliance initiatives through functional team participation * Support Compliance Policy and Procedure adherence, understanding and periodic testing* Support Annual Policy and Procedure testing program
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  • Ge Asset Management
    Data Governance- Portfolio Analytics
    Ge Asset Management Sep 2007 - May 2011
    Boston, Ma, Us
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  • Ge Asset Management
    Investment Data Analyst
    Ge Asset Management Feb 2006 - Sep 2007
    Boston, Ma, Us
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  • Hewitt Associates
    Business Analyst
    Hewitt Associates Nov 2004 - Feb 2006
    London, Gb
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  • People'S Bank
    Credit Card Risk Intern
    People'S Bank Jul 2000 - Jul 2004
    Bridgeport, Ct, Us
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Richard Miller Skills

Investment Advisers Act Investment Company Act Investment Advisor Compliance Investments Operational Due Diligence Charles River Ims Latent Zero Equities Macgregor Financial Services Business Analysis Data Analysis Asset Management Bloomberg Defined Benefit Portfolio Management Financial Modeling Analytics Bondedge Golden Source Fixed Income Barclays Point Valuation Finance Financial Analysis Financial Risk Risk Management Securities Asset Managment Crd Odd Regulatory Compliance Trade Compliance

Richard Miller Education Details

  • University Of Connecticut
    University Of Connecticut
    Economics
  • Cornell University
    Cornell University
    Securities Law
  • Wolmer'S Boys School
    Wolmer'S Boys School

Frequently Asked Questions about Richard Miller

What company does Richard Miller work for?

Richard Miller works for J.p. Morgan

What is Richard Miller's role at the current company?

Richard Miller's current role is Vice President at J.P. Morgan Private Bank.

What is Richard Miller's email address?

Richard Miller's email address is ri****@****ust.com

What is Richard Miller's direct phone number?

Richard Miller's direct phone number is (203)-373*****

What schools did Richard Miller attend?

Richard Miller attended University Of Connecticut, Cornell University, Wolmer's Boys School.

What skills is Richard Miller known for?

Richard Miller has skills like Investment Advisers Act, Investment Company Act, Investment Advisor Compliance, Investments, Operational Due Diligence, Charles River Ims, Latent Zero, Equities, Macgregor, Financial Services, Business Analysis, Data Analysis.

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