Tom Calabria Email & Phone Number

Recruited by a co-founder and former colleague to develop and build out the compliance architecture for this start up investment advisor, launch US-based ETFs and oversee all regulatory matters associated with the operation of an SEC registered adviser and ETFs. Routinely assess risks, provide advice and guidance on compliance best practices and risk mitigation, develop policies, procedures, and testing as well as monitor compliance with federal securities laws and industry rules and regulations. Responsibilities include, but are not limited to, reviewing and approving sales literature, advertising and marketing materials, conducting due diligence and reviewing contracts as well as participating on the firm’s Valuation, Liquidity Risk Management, Derivatives Risk Management, and Basket Committees.

Seoul, Kr

Managed and oversaw all aspects of investment advisory compliance programs for an international investment manager and an ETF manager that serve as advisers to US-based and offshore vehicles that invest in equities, fixed-income and derivatives. Developed, implemented and maintained compliance policies and procedures. Monitored observance of the compliance programs, federal securities laws and industry regulations. Identified areas of risk and potential conflicts of interest. Responsibilities included:• Providing advice and interpretation of rules and regulations under the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934.• Preparing and filing Form ADV Parts 1 & 2 and Forms 13F & 13H. Overseeing other SEC filings including the mutual fund and ETF registration statements on Form N-1A. Interfacing directly with regulators; responding to regulatory inquiries and reports. • Conducting testing, including pre-trade testing with Bloomberg AIM, to ensure compliance with firm and client policies and procedures.• Conducting annual reviews of the compliance program of the advisers and mutual funds pursuant to Rule 206(4)-7 and Rule 38a-1.• Overseeing and managing compliance operations, including monitoring client trading, reviewing email communications and account materials, monitoring personal trading and outside activities of employees. • Reviewing and approving sales literature, advertising and marketing materials, RFPs and due diligence questionnaires. Conducting due diligence and reviewing third party vendor contracts. • Responding to due diligence requests from US and international trading partners.• Participating on the firms’ Valuation Committees; Serving as Secretary of two mutual fund trusts and Chief Compliance Officer and Anti-Money Laundering Officer of one trust.• Assisting in the preparation of documents for and launch of an offshore-based master-feeder hedge fund.

Managed and oversaw all aspects of an investment advisory and investment company compliance program. Developed, implemented and maintained compliance policies and procedures. Participated on the firm’s management team and reported to the CEO of the investment adviser and the Board of Trustees of the investment companies on the compliance program. Monitored observance of the compliance program, securities laws and industry regulations. Performed testing and evaluation of the compliance program to minimize exposure to risks associated with mutual fund and advisory operations. Responsibilities included:• Providing advice and interpretation of rules and regulations under the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934.• Preparing and filing Form ADV Parts 1 & 2. Overseeing and updating registered representative registrations (Forms U-4 and U-5). Overseeing other SEC filings, including 13G & 13F reports and the mutual fund registration statement on Form N-1A containing the prospectus and SAI.• Interfacing directly with regulators and examiners; responding to regulatory inquiries and reports. • Conducting ongoing forensic testing and annual reviews of the compliance program of the investment adviser, investment companies and mutual fund service providers pursuant to Rule 206(4)-7 and Rule 38a-1. Identifying additional areas of risk and potential conflicts of interest.• Providing compliance training to advisory personnel and conducting an annual compliance meeting. • Monitoring personal trading and outside activities of employees, including management of hedge funds.• Participating on the firm's Best Execution Committee.• Assisting with broker-dealer compliance and operational issues.

Managed a team of regulatory administrators providing regulatory administration services to investment companies registered or seeking to register with the SEC. Established close working relationships with clients and coordinated among multiple departments and service providers to ensure quality service to clients. Prepared, reviewed and filed client documents with the SEC, including proxy materials, tender offers, registration statements and shareholder reports. Coordinated and prepared meeting materials, including corporate resolutions, minutes quarterly reports and contract renewal documents, for organizational, quarterly, and special board and committee meetings.

Reviewed and approved changes to individual insurance policies. Ensured compliance with applicable NASD rules, state regulations and contract terms. Assessed risk and ordered medical requirements as part of the underwriting process. Undertook a special assignment to provide consultation services to field representatives in a variety of specialized areas within Prudential’s advanced client acquisition process. NASD Series 6.

B.A., German And International Studies

J.D.