Dynamic Compliance Manager with proven success in policy development, regulatory reporting, and risk assessment. Expertise in enhancing operational integrity and training staff, contributing to compliance excellence within asset management.
Overview
11
11
years of professional experience
Work History
Asset Management Risk and Compliance Manager
Macquarie Group Ltd
02.2023 - Current
Specialized in Investment Advisers Act and Investment Company Act of 1940.
Provided compliance guidance on fund origination, distribution, and affiliate transactions.
Developed policies to ensure adherence to laws, regulations, and best practices.
Trained staff on compliance procedures to enhance operational integrity.
Reviewed contracts for compliance with legal standards and regulations.
Coordinated with external regulators to support compliance assessments.
Advised on risk management strategies to mitigate compliance-related issues.
Promoted to Manager in 2025 due to demonstrated expertise
Hospitality Coordinator
San Jose Country Club
09.2022 - 02.2023
Managed member inquiries and provided exceptional customer service support.
Organized schedules and ensured timely execution of scheduled events.
Collaborated with kitchen and service staff to ensure smooth operations during events.
Provided excellent customer service by responding to inquiries in a timely manner.
Aided senior leadership during executive revenue decision-making processes.