Expertise

TEAM LEADERSHIP

• Provided input and collaborated with leadership team on direction of firm
• Led teams of examiners and specialists evaluating risks of investment advisors leveraging knowledge of applicable securities laws, rules, changes to regulations and awareness of trends and news in the industry

OPERATIONS

• Established international presence opening offices in London and registering in Canada
• Overhauled all HR policies & procedures reducing risk, developed & implemented new compliance program

PORTFOLIO & RISK MANAGEMENT

• Re-built a small cap value product combining traditional quant factors with corporate signaling factors, based largely on stock repurchase plans and rebalanced and optimized
• Managed volatility and risk factor exposures, including hedging with derivatives in complex portfolios
• Streamlined hedge fund processes and rebalanced portfolios with optimization

OPTIMIZING TECHNOLOGY TO SOLVE BUSINESS PROBLEMS

• Oversaw key IT projects including cloud migration, CRM implementation, accounting deployments and all cyber security efforts
• Optimized all internal systems with automation resulting in significant efficiencies with reduced cost in billing, compliance and HR platforms

PRODUCT DEVELOPMENT

• Designed client-directed new products including mega-cap fund, large-cap completion fund, and a guaranteed minimum return fund
• Built infrastructure necessary for ESG suite of products, inclusive of benchmarking

CLIENT MANAGEMENT

• Managed client relationships and developed communications strategy
• Grew client base 16%