Director Of Investment Risk Compliance Resume Example

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Jessica Claire
Montgomery Street, San Francisco, CA 94105 (555) 432-1000,
Professional Summary

Experienced Director of Investment Risk Compliance with over 20 years of experience in financial governance, financial risk management, and regulatory compliance (GRC). Currently managing the Investment Risk Compliance and Global Investment Performance Standards (GIPS) functions for a New York based asset management firm. I have a track record of successful experience developing customized investment guidelines for U.S. Pension Funds, Central Banks, and other institutional clients, working with portfolio managers on investment strategy implementation, and leading teams for high profile regulatory audits. Throughout my years at the firm, my position has allowed me to develop a wide range of interdisciplinary technical skills and knowledge of a various functions, including Settlement/Operations, Legal, Information Technology, and Portfolio Management. Excellent reputation for resolving problems, improving customer satisfaction, and driving overall operational improvements. Consistently saved costs while increasing profits. Experience in policy development and staff management procedures positively impacting overall morale and productivity.

Meticulous [Job Title] offering [Number] years of experience in reviewing financial statements, recommending enhancements and monitoring ongoing activities. Familiar with statistical analysis techniques and [Software] operatin. Seek to apply knowledge and abilities to challenging new role. Operations Monitoring Analyst providing organization with key control checks for implementation and application of regulations and controls. Develop and deliver risk-based monitoring programs which test efficacy of front-line controls. Excellent presentation skills and ability to identify key compliance risks. Subject Matter Expert and trusted advisor skilled in research, analysis and examination of company technology and standard operating procedures. Interface and collaborate with clients and internal team members, providing consultative enhancement recommendations based on industry research. Improve existing processes, procedures, technical enhancements, resource requirements and stakeholder engagement procedures to align with strategic goals. Highly motivated and positive individual with great organizational and communication skills. Customer service master and efficient problem solver. Deftly manage administrative functions of the practice. Provide thorough answers and solutions and provide an exceptional customer experience. Key leader within the dedicated product team experienced in building consensus amongst stakeholders by defining and championing shared product vision of what needs to be built. Talent for conveying clear and compelling narrative and enthusiasm for creating vital functionality. Strong desire for continuous improvement and proven ability to think strategically and act tactically about product development.

  • Development of Investment Strategy & Guidelines
  • Create process and procedures for Risk Management
  • Monitor portfolio risk exposures
  • Regulatory Filing & Compliance (SEC , NFA , UCITS, Dodd Frank, etc.)
  • Review various ISDA terms
  • Negotiate and Prepare Client IMAs and guidelines of pension funds, central banks, sovereign wealth funds, mutual funds,
  • Program client guidelines into both proprietary systems, as well as common industry apllications such as Blackrock's Aladdin, Bloomberg, and Sentinel
  • Prepare and participate in institutional sales pitches and RFPs
  • Counterparty Monitoring
  • Risk investment analysis
  • Compliance risk management
  • Knowledge of performance tracking
  • Understanding of financial performance
  • Risk assessment skills
  • Knowledge of legal requirements
  • Investment strategies
  • Security and Risk Management training
  • Customer communication
  • Strategic planning
  • Performance analysis
  • Contract negotiation
  • Regulatory compliance
  • Risk mitigation
Work History
05/2004 to Current Director Of Investment Risk & Compliance Neogenomics Laboratories | Houston, TX,
  • Began initially as a compliance analyst and was promoted twice to my current role as Director of Investment Risk Compliance (held since 2008)
  • My current position is a blended, multi-discipline role that combines Investment Guideline Negotiation & Monitoring, Risk Management, Regulatory Compliance, Operational Risk, and Client Service/Sales
  • Investment Guideline Negotiation & Monitoring
  • Develop and monitor investment guidelines for a range of investment strategies ( Fixed Income Absolute Return, MBS Benchmark Relative, Active FX with Overlays, Small Cap Equity, Emerging Market Debt & Equity, CLO's, & CDO's)
  • Work closely with the investment team to develop a standard set of quantifiable investment guidelines that are used to communicate the key risk and investment parameters (e.g. ex-post and ex-ante performance targets, VaR, tracking volatility, benchmark relative constraints) of various strategies to clients and prospects
  • These guideline templates serve as the basis for programming our investment monitoring systems (Sentinel, Blackrock's Aladdin, an a proprietary internal tool)
  • Sit on the firm's Valuation, Pricing, and Counterparty Committees
  • Regulatory and GIPS Compliance: Head the effort to interpret and translate regulatory rules (SEC, CFTC, UCITS, KAG, etc.) into programmable attributes for the investment team
  • Have led successful audits related to the SEC, Dept.of Labor (ERISA), SAS70/ SSAE16, GIPS, and the U.K.'s FSA regulations
  • Work with our Legal team to complete the firm's ADV Filing
  • Work with Legal to ensure client compliance with Dodd-Frank counterparty requirements
  • Monitor Liquidity Risk for 40'Act mutual Funds
  • Maintain the firm's adherence to the CFA's Global Investment Performance Standards
  • ISDA/Collateral Management: Work with the Legal team to negotiate the technical aspects of the ISDA
  • Assist our operations team with collateral management
  • Client Service/Sales: Work with the Business Development teams on initial sales pitches and presentation of the firm's capabilities to multi-billion-dollar pension funds and sovereign wealth funds
  • Worked with our Client Relationship team to present new ideas and updates to existing clients
  • Proactively identified and solved complex problems impacting operations management and business direction
  • Prepared departmental contracts for attorney approval
  • Implemented remediation processes to alleviate [Type] issues with [Tool] and [Tool]
  • Successfully led key projects which resulted in [positive outcome]
  • Documented [Timespan] updates to management on renewal progress, at-risk renewals and renewals forecast
  • Resolved conflicts and negotiated agreements between parties in order to reach win-win solutions to disagreements and clarify misunderstandings
  • Provided onsite training
  • Supported [Job title] in operational improvements and resolution of [Type] problems to deliver top-notch customer service
  • Organized projects by delegating tasks to appropriate personnel and overseeing quality control duties
01/1999 to 05/2004 Senior Financial Analyst Neogenomics Laboratories | Carlsbad, CA,
  • Worked in the Private Wealth Management Group preparing financial analysis and risk management reports
01/1997 to 01/1999 Senior Financial Analyst American Equities Group | City, STATE,
  • Responsible for accounting and financial analysis reporting
Expected in XXX9 Master of Science | Risk Management New York University, New York, NY GPA:
Expected in 1999 Bachelor of Science | Accounting Rutgers University, Newark,New Jersery, GPA:
  • Member, CFA Institute
  • Member, Professional Risk Manager International Association (PRMIA)
  • Member, Association of Certified Fraud Examiners (ACFE)
  • Member, Global Association of Risk Managers (GARP)
  • Member, Certified Anti-Money Laundering Specialist (CAMS)
  • Member, International Association For Quantitative Finance (IAQF)
  • Member, New York Alternative Investment Roundtable (NYAIR)
  • Certificate in Investment Performance Management (CIPM), CFA Institute
  • Certified Public Account (CPA), New Jersey Board of Accountancy
  • Certified Fraud Examiner (CFE), Association of Certified Fraud Examiners
  • Certified Anti-Money Laundering Specialist (CAMS)

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Resume Overview

School Attended
  • New York University
  • Rutgers University
Job Titles Held:
  • Director Of Investment Risk & Compliance
  • Senior Financial Analyst
  • Senior Financial Analyst
  • Master of Science
  • Bachelor of Science