• Oversee and execute vendor and exchange compliance functions at a $40M market data and technology provider.• Conduct internal audits to prevent unauthorized data access and minimize overall company risk.• Compile, reconcile, and report data accesses as contractually required to 25 stock exchanges and vendor partners.• Manage all aspects of outside audit process as they arise from any data vendors, stock exchanges, or index providers.• Review new vendor agreements and provide… Show more • Oversee and execute vendor and exchange compliance functions at a $40M market data and technology provider.• Conduct internal audits to prevent unauthorized data access and minimize overall company risk.• Compile, reconcile, and report data accesses as contractually required to 25 stock exchanges and vendor partners.• Manage all aspects of outside audit process as they arise from any data vendors, stock exchanges, or index providers.• Review new vendor agreements and provide feedback to senior leadership during negotiations.• Internal resource/expert regarding data coverage and exchange licensing questions for sales team.• Communicate important notices to clients such as immediate compliance concerns and upcoming licensing changes. • Facilitate exchange licensing approval process between our clients and the exchanges.• Work closely with the Finance team to review and approve ongoing expenses and price increases.• Assisted the company through multiple data migrations while specifically tasked with updating required exchange agreements and obtaining necessary approvals from 50+ exchanges/providers.• Reached out to all vendor and exchange partners during COVID requesting payment relief and deferral, ultimately saving the company approximately $100k in fees and almost $2M in deferrals.• Manage positive relationships with about 15 data vendor partners and 50 stock exchanges/index providers.• Train new sales and customer success team members regarding compliance processes and functions. Show less

• Co-manage a staff of nine who are responsible for reading collective bargaining agreements to verity compliance with Fund policy.• Organize, track, and prioritize collective bargaining agreements. Ensure the agreements are read and processed in a timely manner, while monitoring staff workload and delegating appropriately. • Coordinate with counterpart to confirm staff is correctly updating internal systems with pertinent contract information to ensure member benefits are billed and… Show more • Co-manage a staff of nine who are responsible for reading collective bargaining agreements to verity compliance with Fund policy.• Organize, track, and prioritize collective bargaining agreements. Ensure the agreements are read and processed in a timely manner, while monitoring staff workload and delegating appropriately. • Coordinate with counterpart to confirm staff is correctly updating internal systems with pertinent contract information to ensure member benefits are billed and processed accurately.• Follow-up, assist, and review ongoing special projects and other time-sensitive priorities and tasks.• Work with both Local Unions and Employers to clarify and amend agreements that are not in compliance with Fund policies and applicable pension and healthcare legislation.• Prepare and present contract issues to the Fund’s Board of Trustees on a monthly basis.• Collaborate with other departments: Accounts Receivable, Collections, Withdrawal Liability, Legal, Field Audit, and Field Services.• Prepare staff evaluations and provide recommendations for improvement and growth. Show less

• Monitored the investments and related transactions of a $16B Pension Fund and $5B Health and Welfare Fund to maintain compliance with investment manager guidelines, ERISA and the Pension Fund’s Consent Decree.• Ensured standards of performance are met by investment managers by analyzing performance relative to benchmarks. • Audited reconciliations between the Custodian and investment managers.• Prepared daily portfolio valuations, weekly asset allocation analyses and quarterly… Show more • Monitored the investments and related transactions of a $16B Pension Fund and $5B Health and Welfare Fund to maintain compliance with investment manager guidelines, ERISA and the Pension Fund’s Consent Decree.• Ensured standards of performance are met by investment managers by analyzing performance relative to benchmarks. • Audited reconciliations between the Custodian and investment managers.• Prepared daily portfolio valuations, weekly asset allocation analyses and quarterly rebalances for both Funds, as required.• Calculated investment management, fiduciary, and custodial fees based on specific contractual agreements. • Assisted in the preparation of year-end Form 5500 for both the Health & Welfare and Pension Funds.• Researched, analyzed, and recommended investments for the Central States 401(k) plan, which were ultimately implemented.• Liaison for the Funds with Named Fiduciary, Northern Trust, and Custodian, Bank of New York Mellon.• Collaborated with Custodian to develop and implement new securities lending guidelines for the Pension Fund. Show less

• Directed the numerous stages of audits while completing the responsibilities of a staff auditor.• Lead fieldwork engagements by assisting staff, conducting formal meetings with clients, as well as recommending and implementing solutions to identified problems.• Identified and communicated risk exposure and made recommendations to complete the audit efficiently.• Calculated, processed and assisted in the collection of audit findings.• Assisted in training and developing new… Show more • Directed the numerous stages of audits while completing the responsibilities of a staff auditor.• Lead fieldwork engagements by assisting staff, conducting formal meetings with clients, as well as recommending and implementing solutions to identified problems.• Identified and communicated risk exposure and made recommendations to complete the audit efficiently.• Calculated, processed and assisted in the collection of audit findings.• Assisted in training and developing new staff. Show less

• Conducted in-depth reviews of client’s financial circumstances, goals, and priorities.• Created, analyzed, and presented financial plans along with alternative scenarios and courses of action.• Collaborated with estate attorneys and CPA’s to design comprehensive strategies and client recommendations.• Implemented employer-sponsored retirement plans; assisted in employee enrollment and investment selections.• Prepared seminars and spoke at client events covering various wealth… Show more • Conducted in-depth reviews of client’s financial circumstances, goals, and priorities.• Created, analyzed, and presented financial plans along with alternative scenarios and courses of action.• Collaborated with estate attorneys and CPA’s to design comprehensive strategies and client recommendations.• Implemented employer-sponsored retirement plans; assisted in employee enrollment and investment selections.• Prepared seminars and spoke at client events covering various wealth management strategies. Show less