STEVEN PHAM
Everett,MA
Overview
2
2
years of professional experience
Work History
Regulatory & Compliance Analyst (Mutual Funds)
BNY Mellon
03.2024 - Current
- Ensure mutual funds remain compliant with state-level regulations where they are registered for sale.
- Liaise with state regulatory agencies on behalf of clients to facilitate filings, updates, and compliance resolution.
- Prepare and submit documentation for fund renewals, name changes, share class increases, and terminations.
- Maintain internal systems with accurate mutual fund data; conduct regular data validation and entry.
- Monitor data feeds, perform data scrubbing, and support the generation of compliance and performance reports.
- Assist in responding to client inquiries with synthesized fund data and reporting support.
Operations Specialist II
BNY Mellon
06.2023 - 02.2024
- Supported major system migration project, validating over 80 client conversions.
- Executed Blue Sky processing functions, including state filing, regulatory tracking, and mutual fund administration.
- Identified and resolved performance and operational issues through collaboration with management.
- Managed client communication, tracked ticket status, and ensured timely delivery with strong customer satisfaction.
Education
Bachelor of Science - Management, Information Systems, Finance
University of Massachusetts Boston
Skills
Technical: Microsoft Office Suite, Data Management, Compliance Reporting
Analytical: Attention to Detail, Data Integrity, Pattern Recognition
Communication: Written & Verbal Communication, Client-Facing Experience
Professional: Quick Learner, Adaptable, Organized, Deadline-Driven
Skills
Microsoft Office Suite (Excel, Word, PowerPoint), Data management & entry systems, Compliance reporting tools, Strong analytical mindset with pattern recognition and trend analysis, High attention to detail and data integrity, Excellent written and verbal communication skills, Team-oriented with client-facing experience, Quick learner, adaptable, and organized, Able to manage priorities and meet deadlines
Timeline
Regulatory & Compliance Analyst (Mutual Funds)
BNY Mellon
03.2024 - Current
Operations Specialist II
BNY Mellon
06.2023 - 02.2024
Bachelor of Science - Management, Information Systems, Finance
University of Massachusetts Boston
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