Tim Mahon Email & Phone Number

Media, Pennsylvania, United States

• Tested RIA policies, business line processes, and conflicts of interest to assess the design and execution of key business controls and monitor key business riskso Collaborated with stakeholders to create and implement.
• Created RIA and COI annual testing plan by performing risk-based analysis and evaluating SEC, FINRA, and DOL regulatory updates and enforcement priorities
• Updated RIA Compliance Manual in response to regulatory, policy, and procedural updates
• Maintained Form ADV Parts 1 & 2A and appendices for the RIAo Engaged with internal and external partners to collect data required for ADV filings
• Provided guidance to the field concerning investment advisory compliance issueso Created training materials; Counseled individual advisors when they had compliance questionso Translated complex regulatory requirements.
• Identified process improvements and implemented technical solutions to help the firm and advisors achieve compliance objectives

Philadelphia, Pennsylvania, United States

• Tested Written Supervisory Procedures, business line processes, and conflicts of interest of the broker-dealer and RIA to assess the design and execution of key business controls and ensure compliance with FINRA and.
• Assisted with the creation and maintenance of the team’s long-term examination schedule based on FINRA and SEC enforcement and examination priorities
• Assisted running the Written Supervisory Procedure Management and Administration Program to maintain, implement, and track TC Services’ inventory of 150 WSPs in the RegEd system o Engaged with business units across the.
• Created and presented quarterly reports documenting team’s findings and progressstakeholders
• Experienced with SharePoint, Teams, NetX360, Red Oak / AdMaster, RegEd, and Archer systems
• Disclosure Project: Lead a long-term, multi-phase project to inventory, review, and test regulatory disclosures across TC Services

Colorado Springs, Colorado

• Performed internal inspections and compliance testing of T. Rowe Price Investment Services’ Broker/Dealer Offices under FINRA 3110
• Evaluated effectiveness of internal controls and compliance with SEC and FINRA rules and regulations, and adherence to corporate policies. Inspections have included:
• Large OSJ/OSMJ Inspections: Owings Mills, MD; Colorado Springs, CO; Tampa, FL
• Branch Office Inspections: Toronto, ON; Fairfax, VA
• Home Office OSJ Inspections: Teleworker Inspections of Advertising Reviewers
• Function-based Inspections: Legal & Finance; Sales & Marketing

Owings Mills, MD

• Assisted TRP Mutual Fund Group in multistage production process to update mutual fund prospectuses for 485(a) filings with the SEC; organized and accurately completed high-volume workflow under strict, constant.
• Gained knowledge and insight into T. Rowe Price mutual funds and corporate structure

Greater New York City Area

• Assisted law firms in large-scale discovery projects lasting from weeks to yearsExperience quickly mastering unfamiliar areas of law and applying complicated case specific facts Assigned to project management.
• Performed discovery for Barclays Bank in accordance with a subpoena by the Security & Exchange Commission concerning manipulation of LIBOR rates
• Performed an internal audit of global beverage conglomerate Diageo, Inc. to ensure compliance with Foreign Corrupt Practices Act
• Audited financial statements for several hedge funds and investment banks in cases concerning mortgage-backed securities and credit default swaps.

Brooklyn, NY

Wrote case reports and sample opinions for appellate judges Read appeal briefs and voluminous case records; researched and applied applicable case law

Springfield, VT

Wrote briefs, argued motions, and took depositions in insurance defense litigation

Montpelier, VT

Attended sessions of the Vermont Legislature; lobbied for client interests

Grafton, NH

Acted as a mediator in rural New Hampshire small claims court

Albany, NY

Researched various New York and Federal environmental laws and issuesAttended stakeholder meetings with NYS Department of Environmental Conservation

Juris Doctor (J.D.), Law

Activities and Societies: Senior Notes Editor, Vermont Law Review

Master'S Degree, Education

Concentration on instruction and curriculum design

Bachelor Of Arts (B.A.), English