JENNIFER MATHENY
Stamford,CT
Summary
Seasoned Vice President with a proven track record in strategic planning, financial management and team leadership. Skilled at implementing operational improvements to drive productivity and profit growth. Demonstrated abilities in fostering positive relationships with stakeholders, partners, and clients while delivering high-impact business results. Known for problem-solving acumen, innovative thinking, and strong communication skills.
Overview
34
34
years of professional experience
Work History
Vice President Legal & Compliance
AMG Funds
Stamford, CT
05.2017 - Current
- Compliance oversight of current and potential AMG affiliated subadvisers. Responsibilities include annual onsite operational due diligence meetings, reviewing each firm's compliance program, operational function, valuation, technology, cyber security, as well as service providers.
- Results of these reviews are reported to senior AMGF leaders, as well as to the Fund Board of Directors.
- Implemented technology that streamlined data collection into a warehouse used to enhance the evaluation of AMGF subadvisers.
- Data collection comes from the daily, quarterly, and annual subadviser questionnaires, as well as 15c and cybersecurity responses. This data is used to create trend analysis reporting.
- Establish and chair the quarterly Fiduciary Oversight Committee. This Committee is responsible for monitoring, risk ranking, and reporting to senior management of AMGF the effectiveness and continued ability of each Subadviser to provide services to the Funds.
- Helped develop an automated compliance workflow and reporting procedure tools with the AMGF administrator.
- Conduct an annual review and testing of mutual funds, investment advisors, and broker-dealer policies and procedures.
- AML compliance resources investigate, monitor, and manage suspicious financial activities with the administrator.
- Main compliance resource for reviewing and approving RFPs and RFIs.
Director of Manager Due Diligence
EACM Advisors
Norwalk, CT
01.2015 - 05.2017
- Managed the due diligence team responsible for the operational risk assessment program of 70 domestic and global hedge funds, long-only, and mutual fund managers.
- Led the team that conducted operational investigations, which included onsite interviews with key personnel, final analysis of background channel checks, financial/valuation practices, legal/compliance documents and processes, as well as technology and cybersecurity practices.
- Presented the analysis to the EACM senior executives and the investment team on a quarterly basis.
- Had veto authority over a potential manager based on analysis.
- Enhanced the current workflow process based on my industry knowledge and experience of best practices.
Risk Manager - Operational Due Diligence
GE ASSET MANAGEMENT
Stamford, CT
10.2005 - 01.2014
- Developed, expanded, as well as continually improved the Operational Due Diligence program for 75 hedge fund and long-only manager relationships.
- Responsible for the oversight of domestic and international equity, fixed income, sub-advised mutual funds, DB and DC plans, private equity, real estate, hedge funds, and hedge fund of fund managers, in excess of $10 billion.
- Responsible for coordinating and performing on-site due diligence reviews for prospective as well as existing managers. Reviews included firm overview, portfolio management, valuation process, trading practices, trading function, reconciliation process, compliance program, legal structure, technology, disaster recovery, cyber security, service provider assessment, and background investigations.
- Ability to veto investments based on review opinion.
- Identify areas of improvement, and provide feedback and a development plan to managers.
- Present the manager review results and recommendations to GEAM’s senior leadership,
- Established relationships throughout GEAM departments by seeking, as well as providing, professional experience and opinions.
Compliance Trade Analyst
GE ASSET MANAGEMENT
Stamford, CT
01.2005 - 09.2005
- Coordinated, reconciled and monitored all soft dollar compliance requirements
- Coded and monitored compliance rules and client guidelines in various order management systems
- Served as compliance liaison to equity and fixed income portfolio management teams
- Reviewed and monitored soft dollar activities, processes, and regulatory requirements to Clients and senior leadership for a $6 million commission budget
- Oversee soft dollar management system, including processing service requests, invoice reconciliation and budgets
- Leveraged compliance and regulatory experience to identify and mitigate compliance risks across the business
- Support Global Compliance Policy and Procedure integration
- Helped develop and implement online trade error reporting tool
- Trained investment professionals on GEAM compliance responsibilities and requirements
Vice President-Advisory Services
CIRCLE TRUST COMPANY
Stamford, CT
10.1999 - 12.2004
- Company Overview: formerly a division of Columbus Circle Investors.
- Manage all functions of the Operations Department, including hiring and training employees.
- Acted as a liaison between managing directors, portfolio managers, and operations.
- Served as the interim controller for common trust funds, and acted as the primary liaison with external auditors.
- Providing monthly and year-end balance, operational statements, and partner capital reconciliation reports for the production of 1065, K-1, and 5500 returns for 26 common trust funds.
- Oversaw daily workflow in the following areas: trading, internal audit, account reconciliation, and trade settlements for over 90 international, domestic, and hedged accounts valued at $3.5 billion.
- Coordination of yearly audits, preparing financial worksheets, capital partner reconciliations, NAV calculations, account rebalancing, daily/monthly cash flows, DTC affirmations, proxy voting, and corporate actions such as stock splits, spin-offs, mergers, and tenders.
- Helped develop and implement an automated client billing and reporting system.
- Heavy client interaction, including separate account clients, traders, and custodians.
- Responsible for new account set-up, maintenance, and continued customer service.
- Systematically and functionally integrate the conversion(s) of operating, accounting, and trading systems.
- Maintaining the electronic data flow between new operating, trading systems, and custodians.
- Calculated performance, asset growth reports, and special reporting for over 100 domestic, international, and hedge fund accounts.
- Hired, managed, and trained a team of account administrators.
Manager - Account Administration
Columbus Circle Investors
12.1991 - 09.1999
- Managed a staff of account administrators who reconciled over 150 accounts on a monthly basis, with assets exceeding $8 billion.
- Handled daily reconciliation and investment of cash for several mutual funds, which had a value of over $1.5 billion.
- Liaison between traders, brokers, and custodians for trade settlements.
- Facilitated the implementation of the Omgeo trade confirmation application.
- Responsible for the implementation of an automated solution for client proxy voting.
Account Administrator
11.1990 - 11.1991
- Responsible for account reconciliation and investigating trade discrepancies for of over 40 separate accounts on a monthly basis
- Acted as liaison between brokers and custodians
Education
B.A. - Liberal Arts
University of New Hampshire
Skills
- Operational due diligence
- Regulatory compliance
- Risk assessment
- Team leadership
- Stakeholder engagement
- Policy development
- Strategic planning
- Effective communication
Speaking Engagements
- KPMG Asset Management Industry Perspectives Event
- HedgeOps New York
- Hedge Fund Business Operations Forum
- GAIMOps Cayman
- Hedge Fund Investors Forum, Latin Markets
Timeline
Vice President Legal & Compliance
AMG Funds
05.2017 - Current
Director of Manager Due Diligence
EACM Advisors
01.2015 - 05.2017
Risk Manager - Operational Due Diligence
GE ASSET MANAGEMENT
10.2005 - 01.2014
Compliance Trade Analyst
GE ASSET MANAGEMENT
01.2005 - 09.2005
Vice President-Advisory Services
CIRCLE TRUST COMPANY
10.1999 - 12.2004
Manager - Account Administration
Columbus Circle Investors
12.1991 - 09.1999
Account Administrator
11.1990 - 11.1991
B.A. - Liberal Arts
University of New Hampshire
Similar Profiles
Mark CraneMark Crane
Welder at AMG IndustriesWelder at AMG Industries
MERIVIE CAYABANMERIVIE CAYABAN
Caregiver at AMGCaregiver at AMG
Joy CohenJoy Cohen
Office Manager at AMG Kankakee IMOffice Manager at AMG Kankakee IM