Anne Rouzer, J.D.
Frederick,United States
Summary
Experienced senior compliance professional with expertise in investment compliance regulations, private investments, and regulatory filings and exams. Skilled in developing and implementing the various components of '40 Act compliance programs for RIAs, drafting DDQ and RFP documents, SEC/FINRA/NFA regulatory filings, and marketing/advertising compliance (GIPS & the SEC Marketing Rule). Strong focus on team collaboration and achieving results through effective communication and problem-solving. Known for expert-level legal and compliance research and writing proficiency, as well as reliability and adaptability in dynamic environments. Collaborative with a relentless work ethic.
Overview
10
10
years of professional experience
Work History
Assistant Vice President
Chevy Chase Trust
07.2024 - 07.2025
- Produced comprehensive materials on investment performance for internal and external audiences.
- Calculated and reconciled investment performance data across multiple applications with accuracy. Direct the implementation of GIPS standards and supervised composite membership and provide expert responses to questions about investment performance methodology and reporting.
- Drafted clear and concise policies, procedures, and guidelines that promoted organizational compliance with relevant laws and regulations. Collaborated closely with executive leadership to align department goals with overall company objectives, resulting in stronger organizational cohesion.
Senior Regulatory Compliance Associate
IQ-EQ Investor Services
12.2023 - 06.2024
- Supported the development of robust '40 Act compliance programs with RIA and ERA client firms. Provided regular monitoring and auditing activities, and client registration processes with relevant regulatory bodies such as SEC and FINRA, e.g. Form ADV filing (all parts).
- Served as a subject matter expert on advertising compliance-related topics, providing guidance to colleagues and stakeholders as needed.
- Reduced potential legal exposure for client firms by identifying areas of non-compliance and recommending corrective actions. Collaborated with cross-functional teams to ensure timely resolution of compliance issues and promote adherence to industry standards.
- Assisted in maintaining a culture of ethical conduct by providing training on relevant laws, regulations, and company policies.
Senior Analyst (GIPS)
T. Rowe Price & Associates
02.2019 - 06.2023
- Oversaw management and delivery of over 500 investment performance composites with precision and adherence to deadlines and led the investment composite creation, modification, strategizing, and termination responsibilities for the firm.
- Evaluated advertising content and marketing materials such as pitchbooks for compliance with governing bodies, the GIPS standards, and the SEC Marketing Rule, avoiding costly regulatory penalties or reputational damage and contributing to a rigorous compliance culture.
- Implemented document management systems and participated in technology upgrades and solutions that streamlined processes and improved access to critical data for the improved functioning and highly-organized time-sensitive delivery of investment materials.
- Contributed to adherence to SEC regulation and rules by helping with SEC Examination responses and data gathering. Conducted internal audits of weak or inefficient processes and procedures revealed during SEC exam and addressed promptly.
- Maintained diligent record-keeping and adherence to documentation standards.
Senior Regulatory Analyst
FINRA
12.2017 - 10.2018
- Conducted comprehensive analysis of potential violations by investment firms.
- Executed all stages of investigative actions, preparing cases for further pursuit when needed.
- Gathered and structured data from various sources to support investigations.
- Provided expert advice to senior management on the interpretation and application of complex regulations, facilitating informed decision-making processes.
- Collaborated with interdisciplinary teams to develop comprehensive strategies for addressing financial crime trends and patterns.
Investment Valuations Analyst
MUFG Investor Services
01.2016 - 12.2017
- Conducted routine inspections to ensure accuracy of mutual fund transactions. Provided support in addressing audit deficiencies. Guided new associates in mastering daily operational tasks.
- Provided detailed documentation on audit findings, facilitating swift corrective action when necessary. Maintained confidentiality, handling sensitive information discreetly throughout all stages of the audit process.
- Followed established auditing processes to meet internal and regulatory requirements. Improved internal knowledge sharing by developing comprehensive documentation outlining standard operating procedures for various tasks.
- Implemented predictive analytics techniques that enabled proactive adjustments to business strategies based on emerging trends.
Education
Juris Doctor -
Florida A&M University College of Law
05.2013
Bachelor of Science - Political Science and Economics
Florida State University
05.2010
Skills
- Regulatory Compliance
- '40 Act Compliance Frameworks
- Compliance Manual and Code of Ethics drafting
- SEC Regulatory Examinations
- FINRA roles and regulations
- Marketing and advertising review, ie pitchbooks and sales' materials
- DDQ and RFP response drafting and oversight
- SQL, Factset, & JIRA proficient
- Alternative investments and private funds
- Statutory interpretation and document review
- Dedication to creating a strong culture of compliance and ethics
Timeline
Assistant Vice President
Chevy Chase Trust
07.2024 - 07.2025
Senior Regulatory Compliance Associate
IQ-EQ Investor Services
12.2023 - 06.2024
Senior Analyst (GIPS)
T. Rowe Price & Associates
02.2019 - 06.2023
Senior Regulatory Analyst
FINRA
12.2017 - 10.2018
Investment Valuations Analyst
MUFG Investor Services
01.2016 - 12.2017
Bachelor of Science - Political Science and Economics
Florida State University
Juris Doctor -
Florida A&M University College of Law
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