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Senior Product Management, Investment Management, and Mutual Funds leader with strong project management, compliance, risk management, investment management (front / middle / back office), and diversity network expertise. A recognized financial services leader with over 27 years of experience, focused on investment management operations and support. Extensive background in transformational project leadership, registered funds board management and shareholder operations, service provider transitions and oversight, investment advisory compliance, passive portfolio management, trading operations and data integrity, and leadership in diversity network creation and execution.
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Cim Funds Product ManagerCitiFairfield, Ct, Us
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Board MemberGirl Scouts Of Connecticut Apr 2022 - PresentHartford, Ct, Us -
Cim Funds Product ManagerCiti Jul 2021 - PresentNew York, New York, Us
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Senior Vice President - Cim U.S. Fund Product ManagerCiti Jul 2021 - Aug 2022New York, New York, Us
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Vice PresidentSumitomo Mitsui Banking Corporation Jul 2020 - Jul 2021Tokyo, JpCorporate Secretary / Board Governance -
Vice PresidentState Street Jul 2016 - Mar 2019Boston, Massachusetts, Us• Successfully defended $538.5 million in revenue, without challenge, during the 15(c) Annual Contract Renewal process. Partnered with constituents to develop and maintain a robust annual contract renewal process; acted as liaison to business subject matter experts to effectively report on the nature, extent and quality of the services provided by the adviser. Liaised with Legal, Compliance, and Business SMEs to build reports to satisfy legal entity standards and board requirements.• Led all aspects of Board of Directors and Trustees reporting process for U.S. registered products including quarterly board reporting: oversight of providers, set agendas, ran prep meetings, assessed the impact of regulatory developments on board requirements and reporting, streamlined reporting process allowing for more efficient review, and ensured the timely delivery of accurate materials. • Provided oversight and professional coaching to the team responsible for the production of annual contract renewal and board materials for proprietary and sub-advisory clients. Collaborated on projects to ensure adequate guidance was provided and work product met required needs. • Implemented new vendor workflow system that improved efficiencies and reduced risk in board reporting and 15(c) Annual Contract Renewal processes. -
Vice President - Shareholder And Plan ServicesGe Asset Management Jun 2010 - Jun 2016• Successfully led the GEAM Mutual Funds Operations acquisition workstream resulting in the effective execution of multiple proxies, intermediary agreement assignment, and integration of policies and procedures.• Executed project to optimize mutual funds service providers, consolidating from five to two, increasing efficiencies and improving technologies.• Managed team responsible for mutual funds shareholder servicing, including oversight of transfer agent and call center, complaints processing, and intermediary relationships, ensuring timely and accurate execution of all requirements.• Implemented an integrated business risk program, including the creation of team procedures, identifying core controls used to mitigate and minimize risk and also supported compliance in regulatory audits of the funds, adviser or broker dealer.
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Vice President - Compliance ManagerGe Asset Management Apr 2005 - Jun 2010• Prepared and presented senior management reporting to internal and external boards, including the creation and implementation of a Trade Management Oversight Committee and structure used to support overall Best Execution.• Led a team of analysts responsible for the implementation and execution of advisory client compliance including on-boarding equity and fixed income clients, monitoring and managing compliance to SAI, Prospectus, IMA or regulatory requirements, GIPS Compliance and Best Execution Review.• Coordinated all aspects of internal and external audit execution – GIPS, SEC, FINRA, DOL, and 38a-1 and 206(4)-7 Annual Compliance testing.
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Client Portfolio ManagerGe Asset Management Jan 2000 - Mar 2005• Passively managed equity client accounts within client and strategy guidelines.• Coordinated and executed transitional trading aspects of client on-boarding, effectively managing costs while managing risk and maintaining equity exposure.• Identified and implemented trade and risk management process improvements, reducing both manual work and associated risks, increasing overall team effectiveness.
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Manager - Equity Trade OperationsGe Asset Management Aug 1997 - Dec 1999• Led a team responsible for daily trade operations and trading system data integrity for both equity and fixed income funds across multiple trade order management systems.• Utilized Six Sigma process to timely and successfully execute on multiple business critical projects: new Trading and Compliance platform implementation; Y2K system readiness; implementation of Euro currency conversion; and consistent cusip level pricing across all equity portfolios.
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Trust ControllerGe Asset Management Jun 1995 - Aug 1997• Responsible for timely and accurate preparation of financial statements and ERISA reporting
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Client Service ManagerState Street Oct 1991 - Jun 1995Boston, Massachusetts, Us• Progressed from Portfolio Accountant to Auditor to Client Service Manager, leading team of accountants and auditors responsible for daily cash forecasting, timely and accurate posting of accounting entries, verification of account balances, securities pricing, and NAV calculations for equity and fixed income Mutual Funds, Separate Accounts and Commingled Funds. • Worked closely with clients to anticipate and meet all ad hoc reporting and information needs.
Wendy Carroll Skills
Wendy Carroll Education Details
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Babson CollegeQuantitative Methods / Finance / Information Systems
Frequently Asked Questions about Wendy Carroll
What company does Wendy Carroll work for?
Wendy Carroll works for Citi
What is Wendy Carroll's role at the current company?
Wendy Carroll's current role is CIM Funds Product Manager.
What is Wendy Carroll's email address?
Wendy Carroll's email address is wendy.carroll@ge.com
What is Wendy Carroll's direct phone number?
Wendy Carroll's direct phone number is +120353*****
What schools did Wendy Carroll attend?
Wendy Carroll attended Babson College.
What skills is Wendy Carroll known for?
Wendy Carroll has skills like Equities, Asset Management, Portfolio Management, Financial Services, Due Diligence, Risk Management, Financial Modeling, Securities, Investments, Financial Analysis, Hedge Funds, Alternative Investments.
Who are Wendy Carroll's colleagues?
Wendy Carroll's colleagues are Barnali Sen, Balazs Sebestyen, Video Show, David Luner, Tim Flaherty, Ryan Dasilva, Judy Meisinger.
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