Thomas Phan

Investment Compliance professional and team manager with expertise in 1940 Act compliance, Charles River (CRD) pre- and post-trade portfolio monitoring, and regulatory reporting. Skilled in leading teams, driving change management, and collaborating with stakeholders to deliver compliance solutions and platform enhancements. Recognized for a consensus-building approach and strong ability to bridge technical, regulatory, and client needs.

Market Abuse Surveillance & Electronic Communications Team Lead / Manager - ACA Group - NYC, New York (Remote from Boston)

(2024-03 - 2026-06)

• Managed a nine-member global team supporting Market Abuse (MAS) and Electronic Communications (eComms) Surveillance clients on the ComplianceAlpha platform, overseeing operations, cross-functional collaboration, and team development.
• Served as key liaison between clients, internal teams, and stakeholders on compliance initiatives, regulatory inquiries, and platform enhancements; partner with customer success, professional services, and product management to deliver best practices.
• Developed training materials, user guides, and documentation for MAS/eComms tools; mentor team members to foster a collaborative, high-performing team.
• Spearheaded troubleshooting of data quality, system performance, and user access issues; identify, document, and escalate bugs and enhancement requests to product and development teams.
• Tracked industry and regulatory developments to keep the platform technologically current.

Charles River (CRD) Compliance Consultant (Contract Role) - Icon Consultants - Houston, Texas (Remote contract role)

(2023-09 - 2023-11)

• Provided subject matter expertise in CRD rule coding, testing, and review for Invesco Capital Management's CRD implementation.
• Interpreted restrictive text from a global compliance database and translated it into CRD coding; supported the fixed income compliance team on rule reviews and testing.
• Tracked deliverables, open items, and key metrics to keep the project aligned with Invesco's target dates.

Charles River (CRD) Compliance Consultant / Investment Compliance Analyst (Contract Role) - MFS – Massachusetts Financial Services - Boston, MA

(2019-10 - 2022-12)

• Performed QA testing of investment compliance rules within MFS's Charles River (CRD) system to verify accurate coding against specified requirements.
• Partnered with the CRD coding team and stakeholders to ensure new rules reflected both system functionality and compliance/risk intent.
• Provided consultation on SQL-based CRD rule coding enhancements to mitigate the risk of compliance exceptions.
• Conducted parallel and rolling audit testing of CRD rules against prior systems and client guidelines, documenting results in standardized test plans.
• Trained colleagues and stakeholders on CRD coding, review, and testing fundamentals.

Risk Management Business Associate, Global Transactional Surveillance and Risk Management - BlackRock - Boston, MA

(2016-12 - 2018-12)

• Partnered with Risk Management stakeholders to define functional requirements, surveillance parameters, and data scope for a Global Regulatory Risk and Surveillance automation initiative.
• Performed and documented User Acceptance Testing to confirm functional, technical, and risk requirements; submitted JIRA tickets for enhancements and bug remediation.
• Oversaw ongoing transaction surveillance of Portfolio Management and Trading activity, using SQL-generated reports to query, analyze, and resolve exceptions.
• Collaborated with global teams in New York and London to develop new transaction surveillance tests, including regulatory interpretation and technical specifications.
• Built Tableau proof-of-concept prototypes and used SQL queries to help scope surveillance automation projects; presented completed releases to senior management.

Senior Surveillance Compliance Analyst / QA Systems Testing and Review - BNY Mellon Asset Management - Boston, MA

(2012-08 - 2015-06)

• Developed and SQL-coded investment compliance rules on the Charles River (CRD) system on behalf of BNY's Standish Asset Management fixed income boutique.
• Performed QA testing of fixed income, equity, and money market 2a-7 compliance rules, validating that rules and restrictions functioned and flagged exceptions as intended under 1940 Act rules or IMA guidelines.
• Conducted peer review of CRD rule development and rolling audits to ensure coding matched the intent of client guidelines.
• Monitored CRD pre- and post-trade compliance activity, partnering with Portfolio Management, Trading, Operations, and Client Service to resolve exceptions and data integrity issues.

Compliance Consultant (short-term contract role) - Pioneer Investments - Boston, MA

(2016-04 - 2016-07)

• Performed cross-trade monitoring, 1% price tolerance testing, and daily testing of excess and overdrawn portfolio cash limits across all portfolios.
• Maintained restricted and watch lists for Bank Loan MNPI exposure and M&A activity under the UK Takeover Code; monitored liquidity collateral segregation for accounts with Swap and Derivative exposure.

AVP, Compliance Officer - State Street Global Advisors - Boston, MA

(2009-04 - 2012-04)

• Reviewed monthly, quarterly, semi-annual and annual client compliance questionnaires, checklists and board materials to ensure accuracy, completeness and the timely completion of all client reporting deliverables for over 250 clients.
• Worked collaboratively with subject matter experts throughout the organization to complete 206(4)-7/38a-1 Compliance Program / due diligence questionnaires, Request for Proposals, 10f-3, 15c questionnaires, and ad hoc client requests.
• Provided filing requirements for N-CSR, N-SAR, N-Q, and N-PX, Form ADV, and filings on Forms 13F and 13G.
• Collaborated with Portfolio Management, Trading, and Legal, Relationship Management, Operations and State Street Corporate divisions to ensure all client questions are answered completely and accurately.

Bachelor of Arts - History - University of Scranton