Compliance Professional with over 20 years of experience and progressive responsibility in the investment management industry. Background includes identification and monitoring of investment compliance issues for '40 Act mutual Funds, Institutional Accounts and SMA's. Development and implementation of compliance programs in proprietary and common industry used compliance systems. Approval of account participation in various types of investments to include IPO's and exotic derivative instruments. Firm wide Compliance training, Board of Director presentations, regulatory filings and policies and procedures. Specialties: Investment Management Compliance; Investment and Operational Risk Manag