Robin Freeman Email and Phone Number
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Robin Freeman is a Chief Compliance Officer at LaSalle Investment Management Distributors, LLC at LaSalle Investment Management Distributors, LLC. They possess expertise in securities, series 7, mutual funds, finra, hedge funds and 20 more skills. They is proficient in French. Colleagues describe them as "Great person to work with knowledgeable and professional."
Lasalle Investment Management Distributors, Llc
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Chief Compliance OfficerLasalle Investment Management Distributors, Llc Nov 2019 - PresentChicago, Illinois, United StatesChief Compliance Officer (CCO) at LaSalle Investment Management Distributors, a SEC registered Broker-Dealer and member of FINRA. As CCO, I am responsible for running the end-to-end compliance program, including the implementation of written compliance policies and written supervisory procedures, oversight of firm training, branch office review programs, as well as review of private fund and public non-traded REIT marketing materials. Provide guidance regarding the solicitation activities for private funds and wholesaling activities with participating broker-dealers and RIAs in connection with the ongoing offering of a public offering. Partner with LIMD business leaders to provide direction on compliance related matters relating to develop new policies and procedures that apply to new regulations, business initiatives, or modifications to current business activities. Participate with global organization while participating in working groups to implement new technology to enhance workflows and systems.
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Assistant Chief Compliance Officer And Chief Information Security OfficerLegal & General Investment Management America Feb 2015 - Nov 2019Chicago, Il -
Compliance ManagerLegal & General Investment Management America Jan 2014 - Feb 2015Chicago, IlAs the Assistant Chief Compliance Officer and Chief Information Security, I was responsible for day to day investment advisory compliance initiatives and oversight of Commodity Trading Advisor (“CTA”) compliance programs, including risk evaluation, design and enhance written policies and procedures, licensing, ongoing reviews of program, production and delivery of written annual assessment and review of cybersecurity program. Provided advice and guidance on sales-related activities, sales literature, external communications and service provider oversight. Identified and analyzed complex regulatory issues, their effects on the firm, and assist in the implementation of new regulatory requirements. Created and maintains quantifiable and actionable risk assessments designed to identify and measure risk associated with compliance of various laws and regulations.
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In TransitionIn Transition Nov 2012 - Dec 2013Greater Chicago Area
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Vice President - Compliance ManagerNuveen Investments 1995 - Nov 2012Vice President, Compliance Manager (2000 - 2012)Responsible for oversight of the Broker-Dealer and Commodity Pool Operator and Commodity Trading Advisor (“CPO/CTA”) compliance programs, including risk evaluation, enhancement of written policies and procedures, licensing and branch office exam program, management of annual testing program, production and delivery of written annual assessment, and regulatory exams. Provided advice and guidance on new product development, sales-related activities, external communications, operational issues, privacy and money-laundering issues. Developed and conducted firm wide training for Privacy, Electronic Resources and Anti-Money Laundering, and Annual Compliance Meeting for Registered Representatives.Paralegal (1995 -2000)Prepared corporate documentation, including company’s Annual 10-K filings, Proxy Statement and Section 16 filings with SEC, Board of Directors minutes and other related corporate documents. Reviewed and filed with FINRA Regulation investment company advertising for compliance with FINRA and SEC advertising guidelines. Registered and maintained affiliated investment advisers and registration of investment adviser representatives. -
Paralegal - Corporate And Securities PracticesSidley Austin Llp Feb 1989 - Jan 1995Responsible for research of federal and state securities issues under Regulation D and ULOE for preparation of blue sky surveys and federal and state filings in connection with private placements. Assisted in preparation and filing of registration statements and regulatory documents with SEC and states, including all matters related to the registration and/or qualification of initial public offerings, shelf offerings, 401K plans, municipal bond offerings and hedge funds. Drafted organizational documents and maintained annual corporate records and filings. Participated in mock regulatory examinations and reviewed due diligence materials for mergers and acquisitions.
Robin Freeman Skills
Robin Freeman Education Details
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Political Science And Government -
The Philadelphia InstituteInternational Trade Law And Business
Frequently Asked Questions about Robin Freeman
What company does Robin Freeman work for?
Robin Freeman works for Lasalle Investment Management Distributors, Llc
What is Robin Freeman's role at the current company?
Robin Freeman's current role is Chief Compliance Officer at LaSalle Investment Management Distributors, LLC.
What is Robin Freeman's email address?
Robin Freeman's email address is ro****@****ima.com
What is Robin Freeman's direct phone number?
Robin Freeman's direct phone number is (312) 585*****
What schools did Robin Freeman attend?
Robin Freeman attended Purdue University, The Philadelphia Institute.
What skills is Robin Freeman known for?
Robin Freeman has skills like Securities, Series 7, Mutual Funds, Finra, Hedge Funds, Series 24, Asset Management, Risk Management, Alternative Investments, Series 63, Aml, Equities.
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Robin Freeman
Attending College Of Charleston School Of Business For A Bs Business Degree With A Concentration On Global Logistics And Transportation.Charleston, Sc -
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Robin Freeman
Chief Marketing And Communications Officer At San Francisco SymphonySan Francisco Bay Area
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