Christina Burzillo

• Built consistently successful audit results of over 95% with Supervisory Controls Unit (internal audit)
• Ensured procedures and internal controls continue to operate as expected without material deficiencies, along with continuing efforts to drive enhancements across WMS
• Conducted self-monitoring of WSPs, PPAs and IAP&Ps and ensured maintenance of supporting documentation
• Established training for new employees taking active role in supervision of control procedure to ensure their comprehensive understanding of responsibilities
• Devised and implemented new processes and tools (i.e., checklists, calendar, and tracking system/dashboard) to maintain and drive improvements to overall infrastructure goal.

• With previous experience in supervision of complex products (Structured Products, non-traded REITs and non-traded BDCs), predominantly specialized in supervision of new accounts and trades for variety of financial products and investment strategies
• Cultivated positive rapport with advisors and field leaders regarding results of supervisory activity, including one-on-one training
• Identified and communicated directly with clients regarding account activity to determine suitability
• Mentored over 20 junior team members for career advancement, fostering pipeline of future leaders within Centralized Supervision Unit organization

• Served as subject matter expert and assisted team members on appropriate handling of internal reviews and client-initiated complaints
• Researched, responded, and resolved surveillance reviews and client-initiated complaints involving field advisors, registered principals, and/or their staff
• Identified, investigated and documented compliance policy violations and recommended corrective measures
• Influenced and communicated directly with field leadership in delivery of discipline and/or fines to advisors and registered principals for justified reviews

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