Anissa Berasi

• Responsible for providing dedicated compliance support and guidance related to the Virtus complex of open-end mutual funds, closed-end mutual funds, UCITs and exchange traded funds
• Assist both the Mutual Fund CCO with the preparation and drafting of quarterly and annual reports to the various Virtus mutual fund Boards of Trustees. This includes receiving, analyzing and summarizing compliance related materials and reports from third-party service providers to the Funds (subadvisers, custodian, administrators, etc.).
• Assist Virtus Hartford-based investment advisers with various compliance tasks such as best execution analyses, responding to client due diligence and contract renewal request, and trade allocation reviews.
• Assist Virtus operations and fund administration departments on compliance matters related to fund mergers, liquidation and new fund launches.
• Assist in the analysis and implementation of new regulatory requirements and other special projects relating to the Funds.

Prepare and file various regulatory forms and reports

(SEC Forms N-CEN and N-PX).

• Identified and evaluated business unit risks and control design related to sector specific credit reviews, performance measurement and client services
• Led departmental risk assessment and associated audit planning

• Developed and performed tests to evaluate control effectiveness
• Presented value added risk assessments and improvement opportunities to Senior Management
• Managed relationships with Senior Management throughout planning, fieldwork and reporting stages of the audit
• Supervised, evaluated, and led Senior, Advanced Staff and Staff Auditors

• Managed multiple projects simultaneously of varying scope, timeframes and resources for both defined contribution, defined benefit, and endowment and foundation prospects.
• Guided multi-functional project team to draft responses that appropriately highlight Fiducient Investment Adviser's value proposition and differentiating qualities as an advisor and present recommendations to the Marketing management team.
• Partnered with Consultants to establish marketing material requirements.
• Ensured completion of all of Requests for Proposal documentation.
• Maintained accuracy and completeness of RFP content and CRM database.
• Demonstrated leadership through facilitation of all project related communications and meetings.

• Provide strategic direction on the Investment Adviser Act (206(4)-7) Compliance Program and monitor the status of its execution and evolution
• Partner with business control owners to author policies and procedures that are reasonably designed to effectively mitigate risk
• Manage Investment Adviser Act Policy and Procedure governance process including: creation of new policies, revision control, administration of records retention requirements, lead approval process, and distribution to the Firm
• Build and execute test frame work of front, middle and back office control procedures
• Support business control owners in the implementation of internal control measures
• Monitor regulatory developments that affect the Firm and propose any actions to be implemented to address those developments
• Implement a framework to manage complex NFA regulatory compliance requirements including monthly, quarterly, and annual filings and key personnel registration