Summary
Overview
Work History
Education
Skills
Timeline
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SAM THOMAS

Finance
Mantua,NJ

Summary

Seasoned Risk Management Professional with over two decades of progressive experience driving compliance operations for a leading global organization. Skilled in working collaboratively with all levels of staff, vendors and both internal and external stakeholders in successful attainment of challenging objectives. Adept analyst, auditor, and problem-solver committed to excellence.

Overview

20
20
years of professional experience
5
5
years of post-secondary education

Work History

Portfolio Compliance- Director

BlackRock
Wilmington , DE
01.2014 - 01.2024
  • Head of America's Implementations and Global Head of BlackRock Solutions Implementations, who are responsible for implementing guideline restrictions for clients and country regulations for both BlackRock and Aladdin Clients
  • Dedicated to leadership, team development, building global strategy and ensuring focus on objectives and delivering them on timely basis
  • Scale and position group to enable delivery of strategic initiatives
  • Partner with Legal & Compliance, Sales, Investment and Product leaders and teams to understand clients' and regulators' needs to deliver solutions that drive client experience and adhere to global regulatory requirements
  • Serve as key liaison during regulatory visits, managing preparation and coordination efforts with examiners and regulatory agencies
  • Travel to global offices to build, train and develop teams with various background and culture and get teams up to speed to help support business
  • Build out global training framework for new hires
  • Drive talent management strategies and DEI to maintain robust and diverse resource allocation to meet strategic initiatives
  • Oversee and manage external client space (BlackRock Solutions); run pitch meetings, and ensure clients understand how Aladdin framework is structured and best suited for their needs
  • Drive initiatives that are focused on sharpening firms ESG (environmental, social, governance) compliance offerings in platform
  • Strong knowledge of regulatory requirements inclusive of 2a-7, 40 Act, and UCITs
  • Prepare and present at client pitch and due diligence meetings, demoing platform and answering client questions on system limitation or compliance issues for Clients, members of GEC, regulators, and various Board of Directors of Funds
  • Proficient at SQL/BQL coding to confirm rules are properly coded and intent is accurate
  • Supported Threshold regulatory team as COO, developing strategies and policies for improved operational effectiveness.
  • Raised operational quality with development, implementation and management of robust internal controls.
  • Oversaw internal and external registration as well as training audits.
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
  • Managed practical action plans to respond to audit discoveries and compliance violations.
  • Prepared and submitted regulatory filings in timely manner.

Portfolio Compliance- Associate

BlackRock
Wilmington, DE
10.2006 - 12.2013
  • Code and monitor daily account trade activities and holdings to ensure compliance and regulatory requirements for various mutual funds and separate accounts
  • Prepare compliance certification material and memos for multiple board of directors
  • Train new employees on guideline interpretation and compliance coding
  • Played pivotal role in integration of compliance conversion during MLIM and BGI mergers.

Performance and Attribution- Analyst

BlackrRock
Wilmington, DE
09.2004 - 09.2006
  • Performed calculation and analysis of fixed income portfolios with various mandates
  • Partnered with various departments in BlackRock such as Operations, Data Integrity, Pricing, Account Management and Portfolio Management to ensure accuracy of performance/ NAV calculations
  • Participated in conversion process between BlackRock and SSRM merger that included running parallel NAVs and reconciling differences.

Investment Accountant

Delaware Investment
Philadelphia, PA
08.2003 - 09.2004
  • Calculated investable cash and three-day cash projections
  • Reviewed account performances identified and researched unusual movement
  • Interacted with traders, portfolio managers, custodian representatives, brokers, client services, equity trading administration, investment accounting systems group and information technology group

Education

Bachelor of Science - Business Administration/ Finance

Drexel University
Philadelphia, PA
09.1998 - 08.2003

Skills

TECHNICAL Operating SystemsWindows , MAC OS, Unix, DOS and SYBASEPROFILE: Financial Software: Aladdin, Bloomberg, Optech, Lexis Nexus, Aqua Data StudioCode : BQL/ SQL , Microsoft Visual Basic

Audit Support

Process Management

Investigations skills

Compliance and regulatory

Succession planning

Team Building

Recruitment

Employee training

Public speaking

Attention to Detail

Critical Thinking

Teamwork and Collaboration

Timeline

Portfolio Compliance- Director

BlackRock
01.2014 - 01.2024

Portfolio Compliance- Associate

BlackRock
10.2006 - 12.2013

Performance and Attribution- Analyst

BlackrRock
09.2004 - 09.2006

Investment Accountant

Delaware Investment
08.2003 - 09.2004

Bachelor of Science - Business Administration/ Finance

Drexel University
09.1998 - 08.2003
SAM THOMASFinance