Contract Compliance Manager - Contract Employer - Miami, FL
(2026-01 - 2026-02)
- Directed the Rule 206(4)-7 annual review, designing new test modules, analyzing policy adequacy, and performing forensic testing on operational controls.
Senior Compliance Associate - Post Advisory Group - Los Angeles, CA
(2024-07 - 2025-10)
- Directed the Rule 206(4)-7 annual review
- Initiated a proactive, firm-wide analysis of state regulatory filing obligations, identifying key risk exposures and previously unaddressed compliance requirements.
- Analyzed the impact of new and proposed regulations from diverse domestic and international bodies (e.g., SEC, CIMA) to advise leadership on emerging risks.
- Supported portfolio compliance oversight through Charles River by monitoring trading activity, investment guidelines, client mandates, restricted lists, holdings, allocations, and compliance exceptions. Partnered with stakeholders to investigate and resolve trade-related compliance issues and drove remediation of a high-risk gap between firm policies and OMS controls, improving alignment between compliance requirements and trading system functionality.
- Point of contact for inquiries/due diligence requests from clients, stakeholders, and regulators.
- Reviewed and advised on marketing materials and investor communications to ensure compliance and mitigate regulatory or business risks.
Senior Analyst - Optima Partners - Miami, FL
(2023-10 - 2024-07)
- Developed and assisted with the implementation of compliance protocols, training, policies, procedures, examinations, and audits.
- Provided full-time consultancy services to an asset manager with $9.1 billion AUM.
- Handled IA registration and de-registration needs.
- Oversaw the annual review and updated/created compliance manuals and code of Ethics.
- Drafted quarterly/annual attestation questionnaires and training/review templates.
- Reviewed and approved initial marketing reviews and assisted with any client feedback/questions.
Analyst - Optima Partners - Miami, FL
(2022-07 - 2023-09)
- Utilized Compliance Management Systems (e.g., including ComplySci, Star Compliance, MCO, and Compliance Alpha.)
- Auditor to Expert Network calls preventing shared MNPI.
- Conducted reviews, testing, and surveillance (e.g., vendor due diligence, trade surveillance, and email archiving, Pay to Play, gifts and entertainment, conflicts of interest.)
- Supported SEC examinations.
- Enforced compliance with Code of Ethics and Compliance Manual.
- Drafted regulatory filings, including 13H, 13F, Form PF, ADV Part 1 and 2A, Form D, and 13G.
- Conducted initial review of marketing materials for registered investment advisers and broker-dealers.
