Jordana DeGuire
Austin,TX
Summary
Compliance professional with thorough understanding of 1940 Act regulatory requirements and proven history of successfully on-boarding 30+ sub-advised accounts across many different asset classes i.e., alternatives, domestic, international, emerging markets, passive, and fixed income. focusing on regulatory oversight across multiple strategies including alternatives, domestic, international, emerging markets, passive, and fixed income. Known for fostering team collaboration and achieving results in dynamic environments, in addition to modernizing and enhancing oversight program by incorporating new and existing technology to reduce manual processes and eliminate redundancies. Key skills include code of ethics and regulatory analysis and risk management coupled with adaptability and reliability.
Overview
20
20
years of professional experience
1
1
Certification
Work History
Director of Compliance
Fidelity Investments
01.2016 - Current
- Lead initial and risk-based due diligence meetings for11 sub-advisers, including the ongoing regulatory oversight process which includes assessing the sub-advisers’ compliance programs (Rule206(4)-7)
- Manage Fidelity’s Diverse Manager Incubator Program which identifies and supports investment management firms with diverse (female or ethically or minority-owned) and emerging (small asset size) backgrounds whose growth will help diversify the asset management industry
- Contribute expert analysis of sub-advisers’15(c) questionnaire responses in preparation for the board’s review and approval
- Deliver quarterly board reporting for fund board and CCO including preparation of board memos and presentations, material compliance matters, reporting of policy changes, and annual program updates
- Oversee ongoing compliance oversight of sub-advisers including topics such as code of ethics, compliance monitoring (i.e., compliance with Rules17j-1,17e-1,17a-7 and10f-3) and conflict management
- Administer team’s semi-annual risk assessment process for sub-advisers risk-based rankings
- Present quarterly compliance oversight findings to Adviser Steering Committees in preparation for quarterly CCO reports and upcoming board meetings
- Monitor legislative and regulatory landscape affecting mutual fund industry for potential fund impact
Senior Compliance Manager
Pacific Life Insurance Company
01.2005 - 01.2016
- Led Sarbanes-Oxley (“SOX”) meetings with CEO and other executives
- Reviewed and prepared15(c) contract renewal materials for board review and approval
- Conducted Sub-adviser due diligence meetings
- Oversaw firm’s registration statement filings and other required filings (i.e., Form N-Q, N-CSR, N-PX, and Proxy Statements)
- Enforced adviser Code of Ethics’ compliance with Section17j-1
- Promoted effective communication between the firm and the SEC and other regulatory agencies
- Streamlined complex compliance-related matters for board members
- Responded to regulatory actions, inquiries, and exams
- Analyzed industry news, current legislation and SEC Rule making regarding the possible impact on the funds
Education
Bachelor of Arts -
The University of Texas at Austin
Skills
- Regulatory compliance
- Auditing processes
- Sharp analytical
- Complex business models
- Strategic thinking
- Relationship building
- Problem-solving
- Time management
- Attention to detail
- Teamwork and collaboration
- Excellent communication
- Adaptability and flexibility
Accomplishments
- Collaborated with team of [Number] in the development of [Project name].
- Achieved [Result] through effectively helping with [Task].
- Documented and resolved [Issue] which led to [Results].
Affiliations
- Fidelity’s Mentorship Program
- Member of Women’s Leadership Forum
- Member of Committee to Promote Diversity and Inclusion in the Workplace (ESG)
- National Society of Compliance Professionals
- FINRA Series7 License (in-active)
Certification
Series 7 (in-active)
Timeline
Director of Compliance
Fidelity Investments
01.2016 - Current
Senior Compliance Manager
Pacific Life Insurance Company
01.2005 - 01.2016
Bachelor of Arts -
The University of Texas at Austin