John A. Mrakovcic
Massapequa
Summary
Dynamic Compliance Manager with a proven track record at Invesco, adept at implementing robust compliance programs and enhancing operational efficiency. Skilled in TradingHub and RSA Archer GRC, I excel in regulatory consulting and team leadership, driving compliance excellence while fostering collaboration across business units. Passionate about achieving results and ensuring adherence to industry standards.
Overview
28
28
years of professional experience
Work History
Compliance Manager
Invesco
New York
07.2022 - Current
- Created, implemented, and maintained compliance program for North American investment advisers at Invesco.
- Provided guidance on regulations governing investment advisers and mutual funds.
- Trained team members to uphold compliance standards.
- Collaborated with business units to test policies, recommending enhancements as necessary.
- Monitored daily market abuse using TradingHub MAST system.
- Oversaw regional compliance officers in testing protocols to ensure consistency.
- Led ad-hoc compliance reviews addressing SEC priorities.
- Developed quality control procedures for processes executed by Hyderabad colleagues.
Principal Consultant
ACA Group
New York
11.2018 - 07.2022
- Assisted registered investment advisers with regulatory and compliance matters.
- Managed and supported over 12 client accounts effectively.
- Completed long-term engagement at multi-national asset management firm, conducting compliance reviews and developing North American test plan.
- Conducted annual compliance program reviews for various clients.
- Provided regulatory consulting services, including forensic testing and marketing materials review.
- Drafted quarterly Hedge Fund Law Review newsletter to inform industry stakeholders.
Compliance Officer
TIAA
New York
04.2008 - 09.2018
- Contributed to creation, implementation, and maintenance of compliance and risk assessment program for TIAA, encompassing 36 entities.
- Provided expertise on regulations governing investment advisers and mutual funds.
- Advised team members on compliance program administration to enhance effectiveness.
- Created and updated compliance policies and procedures for investment advisers and mutual funds within TIAA.
- Developed inventory of rules and regulations for affiliated advisers and multiple fund complexes.
- Designed and executed long-term email review project plan, completing it six months ahead of schedule.
- Managed comprehensive monthly and quarterly metric reporting program to track compliance performance.
- Oversaw monitoring of UCITS Compliance Program while guiding evolution of Volcker Compliance Program.
Vice President, Compliance
AIG Investments
New York
11.2002 - 04.2008
- Administered risk assessment and compliance programs for seven investment advisers in asset management division.
- Performed SEC mock reviews to ensure exam preparedness for all advisers.
- Served as primary contact for regulatory inquiries and internal audit reviews.
- Drafted comprehensive policies and procedures for compliance manual.
- Supervised three team members within testing group to enhance operational efficiency.
- Acted as interim Chief Compliance Officer for Brazos Capital Management, L.P., an AIG subsidiary.
Chief Compliance Officer
Brazos Capital Management, L.P/Brazos Mutual Funds
Dallas
01.2007 - 09.2007
- Executed daily compliance functions, ensuring adherence to regulations and standards.
- Implemented compliance program, reviewing and approving marketing materials and SEC filings.
- Coordinated response to SEC deficiency letter, addressing all required actions promptly.
- Facilitated discussions on compliance issues with Board of Directors, promoting awareness and accountability.
Internal Auditor
Fortis Financial Services
New York
03.2001 - 11.2002
- Conducted periodic internal audits to objectively identify and evaluate risks across business areas.
- Presented audit findings and recommendations to management for informed decision-making.
- Tracked implementation of all recommendations to ensure timely completion and effectiveness.
Securities Compliance Examiner/Staff Accountant
Securities and Exchange Commission
New York
03.1997 - 02.2001
- Reviewed over one hundred investment advisers and companies for compliance with federal regulations.
- Drafted deficiency letters to identify improvement areas and propose remediation strategies.
- Guided development of seven new examiners to enhance team expertise.
Education
Bachelors of Business Administration - Accounting
Hofstra University
Hempstead, NYSkills
- Bloomberg and Bloomberg Law
- Charles River Development
- Protegent PTA
- RSA Archer GRC
- TeamMate GRC
- BlackRock Aladdin
- TradingHub
- MAST applications
Timeline
Compliance Manager
Invesco
07.2022 - Current
Principal Consultant
ACA Group
11.2018 - 07.2022
Compliance Officer
TIAA
04.2008 - 09.2018
Chief Compliance Officer
Brazos Capital Management, L.P/Brazos Mutual Funds
01.2007 - 09.2007
Vice President, Compliance
AIG Investments
11.2002 - 04.2008
Internal Auditor
Fortis Financial Services
03.2001 - 11.2002
Securities Compliance Examiner/Staff Accountant
Securities and Exchange Commission
03.1997 - 02.2001
Bachelors of Business Administration - Accounting
Hofstra University
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