Steven O'Connor Email & Phone Number

Los Angeles, CA, US

Santa Monica, California, United States

Santa Monica, CA

Greater New York City Area

• Compliance Officer to New York, Delaware and Cayman Islands Trust Companies and Compliance Manager to Corporate Lending, M&A Advisory and Funds Transfer business lines.
• Manage on-site regulatory exams (OCC and CIMA) from first day letters, to implementation of recommendations and resolution of issues raised.
• Report on a quarterly basis to Boards of Directors, Audit Committees and Oversight Committees on the impact of regulatory change, on-site exam results, compliance metrics and compliance monitoring program.
• Implement and manage the Compliance Monitoring Program including Compliance Risk Assessment, Risk-based Frequency Planning and Comprehensive Testing.
• Collaborate with senior management, enterprise risk management, business line risk management, internal audit and legal counsel to manage regulatory change, improve internal controls and draft policies and procedures.
• Provide firm-wide compliance training to employees on regulatory change and compliance policies and procedures, including code of ethics, conflicts of interest, personal trading, complaints, information barriers.

Cayman Islands

• Independent director of Cayman Islands domiciled investment funds and special purpose vehicles (SPVs) established for CDO, structured finance and aircraft finance transactions.
• Drafted, reviewed and negotiated fund documentation and regulatory filings to ensure all disclosures, representations and responsibilities were accurate and compliant with Cayman Islands regulations.
• Monitored and attended to the ongoing obligations of each fund, including chairing and attending board meetings, maintaining minute books and statutory registers and attending to government and regulatory filings.
• Provided periodic reporting to the firm’s executive management on key performance metrics.
• Conducted anti-money laundering compliance review on transaction counterparties.
• Successfully managed internal projects, requiring the integration of fund managers, regulatory bodies, legal counsel, company directors, IT, and administrative staff.

• Provided corporate and fiduciary services to Cayman Islands and Irish domiciled investment funds and special purpose vehicles established for structured finance and aircraft finance transactions.
• Managed relationships with regulators, stakeholders, fund managers, fund administrators, custodians, trustees, legal counsel, auditors and other service providers.
• Attended to Cayman Islands and Irish regulatory filings.

Llb, Securities, Corporate Governance, Compliance

Education record