Responsible for all aspects of RIA compliance, including policy development and practice monitoring as well as involvement in broker/dealer compliance. Implemented and maintain new portfolio accounting and performance reporting system as well as a new client performance report that includes transaction aggregation for over 30 custodians.

Registered investment advisory firm requiring re-vamping of all company systems and procedures. Developed compliance and code of ethics policies and procedures manual using guidelines from the Investment Advisers Act. Worked with trading, research and portfolio administration groups to develop internal procedures manual. Conducted Code of Ethic training for staff and monitored personal trading of employees. Also responsible for day to day client servicing and back office activities, including reporting and billing. Performed all research and trading associated with 529 Plan accounts and mutual fund clients.

Responsibility included management of trading and research department staffing, training and development and goal setting. Developed seminars and one-on-one meetings with prospective clients for business development. Responsible for quarterly market-update letter and reporting to 250 clients, bi-monthly portfolio asset allocation reviews, daily cash management and client servicing for high net-worth and institutional client base (over $900 million in assets). Responsible for responding to client or management questions concerning performance results of portfolios. Served on the Investment Committee for the company’s 401(k) retirement plan

Duties involved trading, research activities and account administration. Trading duties included all trade executions, tracking, resolution of settlement problems and cash management for 400+ customized accounts. I designed a computerized trading system that increased efficiency and accuracy of trade placement and tracking. Research of U.S. equity holdings, mutual fund analysis, portfolio asset allocation and performance attribution. I also developed a target allocation database and tracking approach which dramatically improved the efficiency and effectiveness of account reviews. Administration duties included posting daily account transactions into Advent portfolio accounting software, reconciliation of accounts, record maintenance, securities pricing, wire transfers, new accounts, and client requests.