Thomas M. Schlueter-White Email & Phone Number

Miami, FL, US

Miami, FL, US

• Senior compliance professional of global investment manager with US$38B+ AUM across several private equity funds focused on global infrastructure and emerging market investments. Responsibilities include:
• Training and supervision of Covered Persons and their activities in accordance with the Investment Adviser’s Act of 1940.
• Creation, maintenance and forensic testing of firm’s policies and procedures related to ongoing compliance program.
• Interaction with portfolio companies regarding compliance matters as needed.
• Review of marketing materials.
• Maintenance of firm’s Restricted Securities List.

Coral Gables, FL, US

• Integral member of SEC-registered investment manager's compliance team. Firm's focus is primarily on mortgage credit, including whole loans, mortgage-backed securities, mortgage servicing right and mortgage-related.
• Management and supervision of 230+ access persons and their activities including pre-approval of personal trades, outside business activities, political contributions, gifts given/received, etc. and reporting of such.
• Creation, maintenance and forensic testing of firm’s policies and procedures related to ongoing compliance program.
• Vendor Risk Management – Monitored risk associated with third-party vendors. Ongoing vendor due diligence including risk assessment, contract renewal negotiations, SOS Requirements, etc.

Nashville, TN, US

• Investor Relations/Compliance specialist for investment manager with as much as US$1B in AUM allocated across as many as six private equity and hedge funds. Responsibilities included:
• Acted as liaison between investors, funds, fund administrator and outside counsel in the coordination of subscriptions, redemptions, capital calls, distributions and transfers as well as investor communications related.
• Instrumental in firm’s receipt of two “no comment” letters resulting from SEC audits.
• Cash management and reconciliation responsibilities as related to payments from and between individual investors, managed funds and related vendors/contractors involving numerous accounts on several banking platforms.
• Performed initial Anti-Money Laundering (AML) and OFAC reviews and ongoing maintenance and organization of required related documentation.
• Cross-trained to perform back-office operations/accounting duties including trade settlement, trade allocation (equities, options, derivatives, term loan, distressed debt and fixed income) and error resolution using.

Nashville, Tennessee, US

Formerly Behavioral Healthcare Corporation, Ardent Health Services owned and operated behavioral and acute care hospital/nursing facilities throughout the U.S. Working closely with, and under the supervision of, a team of healthcare attorneys including General Counsel and the Chief Compliance Officer.

J.C. Bradford & Co. was a Nashville-based investment banking and brokerage firm founded in 1927 services clients in 81 offices located in 14 states. Responsibilities included trading listed equities, listed and OTC options and derivative products on behalf of the firm and its retail clients.