Summary
Overview
Work History
Education
Skills
Timeline
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Craig Ferguson

Brooklyn,USA

Summary

Performance-driven Vice President with 20+ years of experience aligning systems with business requirements, policies, and regulatory requirements. Results-oriented individual well-versed in interfacing and consulting on business processes to drive results based on sound overall business judgment. Compliance advisory officer in developing and implementing compliance program for the Alternatives business. Expertise with applicable regulations (e.g. Investment Advisors Act of 1940, FINRA, Dodd-Frank, JOBS Act, GIPS, etc.)

Overview

31
31
years of professional experience

Work History

Vice President

Morgan Stanley
07.2015 - Current
  • Review and analyze sales literature and marketing materials for various pooled vehicle products including registered funds, unregistered products and separately managed accounts to assess compliance with FINRA, SEC rules and regulations and internal firm policies.
  • Expertise in pooled vehicle products including registered funds and alternative investment products such as private equity funds, hedge funds, fund of hedge funds and REITS
  • Provide guidance and recommendations to business unit personnel to promote compliance; developing practical business guidelines to develop procedures in compliance with Firm policies
  • Partner closely with various internal and external parties including Marketing, Legal, Investment Teams and external regulators such as FINRA and the SEC.
  • Co-led the development and implementation of the Firm’s cross-border compliance and supervisory structure
  • Conduct annual compliance risk assessment, identifying business controls and improvements in relation to Firm’s policies
  • Create, update and deliver training for internal clients and other team members regarding applicable laws, regulations, policies and procedures and methods and best practices for preparation and review of advertising
  • Facilitate the development of Firm’s privacy policy notice, conduct annual review of Firm’s privacy controls
  • Conduct new product reviews for overall distribution matters
  • Ensured regulatory compliance at all times by implementing robust internal controls systems coupled with proactive monitoring mechanisms.

Vice President

Deutsche Bank
09.2005 - 06.2015
  • Liaised with business, legal and senior management on new products/strategies; ensuring that business discussions and plans are compliant with applicable regulatory requirements and industry best practices
  • Prepared and monitored business policies and procedures; ensuring compliance with both new and revised regulations.
  • Performed annual compliance risk assessment for Alternatives business; worked with COO on developing risk mitigating action plans
  • Interacted with Legal, Risk, and Sales areas supporting sales practice of private placements, separately managed accounts for cross jurisdictional solicitation.
  • Conducted marketing review of sales materials for new products and strategies (eg. Private Equity FoF, HFoF, REITs, etc.)
  • Coordinated global review of communications within each jurisdiction sales practices
  • Maintained an awareness of and monitored the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices
  • Conducted annual compliance training requirements for marketing staff; trained and mentored junior compliance review staff

Manager

Prudential Financial
12.1996 - 09.2005
  • Established corporate identity for the quantitative investment group
  • Coordinated with executives across organization to develop and implement firm-wide advertising campaigns
  • Maintained firm’s value proposition throughout all marketing communications’ programs
  • Developed innovative marketing packaging for cost reduction and efficiency
  • Developed marketing materials for both equity and fixed income products
  • Conceptualized presentations with investment professionals
  • Managed Request-for-Proposal process
  • Wrote and/or obtained qualitative answers
  • Reviewed RFP for consistency and accuracy
  • Researched and recommended industry conferences
  • Managed conference logistics through coordinating sponsorship activities

Individual Retirement Consultant

TIAA-CREF
05.1994 - 12.1996
  • Provided service to retirement fund participants to increase premium dollars and membership, via in person or telephone
  • Demonstrated in-depth knowledge of estate planning, with emphasis on tax advantaged investing, social security, life insurance, personal annuities and equity and fixed income securities
  • Assisted Team Leaders with training and development of new consultants

Education

Bachelor of Arts - Sociology

SUNY At Albany
Albany, New York
05-1994

Skills

  • Verbal and written communication
  • Critical thinking
  • Industry best practices
  • Policy and procedure development
  • Company guidelines
  • Rules and regulations

Timeline

Vice President

Morgan Stanley
07.2015 - Current

Vice President

Deutsche Bank
09.2005 - 06.2015

Manager

Prudential Financial
12.1996 - 09.2005

Individual Retirement Consultant

TIAA-CREF
05.1994 - 12.1996

Bachelor of Arts - Sociology

SUNY At Albany

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Craig Ferguson