Traci Dyer
Lakeland,GA
Summary
Legal and Regulatory Compliance Director with experience in overseeing compliance and legal operations for a successful private equity firm. Expertise in leading investor onboarding and regulatory compliance processes, ensuring thorough collection and review of subscription agreements and KYC/AML documentation to meet investor participation requirements. Proficient in reviewing and processing key transaction documents, including LOIs and PSAs, while coordinating and managing due diligence and entitlement extensions for investment projects. Played a pivotal role in supporting the legal structuring and operational framework of US and foreign real estate investment funds, collaborating effectively with legal, finance, and investment teams to uphold regulatory compliance and ensure seamless transaction execution.
Overview
10
10
years of professional experience
Work History
Director, Legal & Regulatory Compliance
DXD Capital
Remote
01.2025 - Current
- Achieved successful investor onboarding and SEC regulatory compliance by meticulously reviewing subscription agreements and KYC documentation, confirming investor eligibility ahead of capital calls. Delivered thorough reviews of key transaction documents, including LOIs and PSAs, while effectively managing due diligence and entitlement extensions for investment projects. Contributed to the legal structuring and operational framework of a foreign feeder fund, collaborating with legal, finance, and investment teams to enhance compliance and improve transaction execution efficiency.
- Mentored junior team members, fostering professional development and enhancing team capabilities.
- Developed and maintained relationships with key stakeholders, ensuring alignment on investment goals and strategies.
- Strengthened internal controls by reviewing existing policies and procedures, ensuring compliance with regulatory requirements.
- Proactively identified potential risks and implemented mitigation strategies to minimize negative impacts on projects or business operations.
- Navigated company through periods of significant change, maintaining focus on long-term strategic goals.
Compliance Officer
DXD Capital
Albuquerque, NM
01.2024 - 01.2025
- Achieved seamless investor onboarding through effective KYC due diligence and thorough review of subscription documents. Delivered compliance with SEC requirements while optimizing documentation processes for investor participation and capital calls. Fostered strong collaboration between legal, finance, and investor relations teams to enhance operational efficiency.
- Developed and implemented compliance policies to ensure regulatory adherence.
- Conducted risk assessments to identify potential compliance issues and recommend solutions.
- Led training sessions for staff on compliance protocols and regulatory updates.
- Collaborated with cross-functional teams to streamline compliance processes and improve efficiency.
- Monitored changes in regulations and updated internal policies accordingly to maintain compliance standards.
- Analyzed audit findings to identify trends and implement corrective actions for continuous improvement.
- Oversaw the preparation of compliance reports for regulatory agencies, ensuring accuracy and timeliness.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
Investor Relations & Marketing Manager
DXD Capital
Albuquerque, NM
01.2023 - 01.2024
- Achieved successful capital raising through effective lead sourcing and qualification. Streamlined CRM management and documentation processes for subscriptions and KYC. Delivered timely capital calls and managed efficient asset closings. Produced engaging webinars and executed impactful email marketing strategies. Coordinated high-profile corporate events and enhanced social media engagement. Improved PR outreach and investor reporting accuracy.
- Collaborated with sales teams to align marketing efforts with revenue objectives and improve lead conversion rates.
- Boosted brand awareness and generated leads while managing internal and external marketing campaigns and programs.
- Managed social media accounts for optimal audience engagement and increased online presence.
- Streamlined internal communication processes, ensuring alignment between marketing objectives and organizational goals.
Investor Relations Associate
John Moore Associates (Raymond James)
Albuquerque, NM
01.2022 - 01.2023
- Achieved efficient CRM management and streamlined investor subscription document reviews. Facilitated timely collection of KYC/AML documents and optimized capital call issuance tracking. Coordinated successful corporate events and delivered comprehensive monthly investor reports to enhance stakeholder engagement.
- Cultivated relationships with institutional investors to enhance engagement and communication strategies.
- Developed comprehensive investor presentations that effectively communicated corporate strategy and financial performance.
- Streamlined reporting processes through the implementation of automated data collection tools and templates.
- Organized successful investor conferences and events, fostering networking opportunities and strengthening relationships with key stakeholders.
- Collaborated with senior management to refine corporate messaging, improving clarity and consistency in external communications.
- Enhanced shareholder relations by proactively engaging in communication and providing timely updates on company performance.
Client Services Manager
Leonard & Martens (Raymond James)
Anchorage, AK
01.2021 - 01.2022
- Managed investment portfolios and retirement accounts for the firm, providing leadership to client service associates and ensuring efficient office workflow.
- Led client onboarding initiatives, ensuring seamless transitions and positive client experiences.
- Developed and maintained strong relationships with clients, enhancing satisfaction and retention rates.
- Streamlined communication processes between clients and internal teams to improve service delivery efficiency.
- Trained and mentored junior team members on best practices in client management and service excellence.
- Coordinated with cross-functional teams to resolve client issues promptly, fostering collaborative solutions.
- Built client relationships by responding to inquiries, identifying and assessing clients' needs, resolving problems, and following up with potential and existing clients.
- Resolved escalated issues with professionalism, maintaining client trust and safeguarding the company's reputation.
Client Service Associate
Leonard & Martens (Raymond James)
Anchorage, AK
01.2016 - 01.2021
- Managed comprehensive investment and retirement portfolio strategies for high net worth clients, focusing on superior service outcomes and team productivity.
- Provided exceptional client support, resolving inquiries and issues promptly.
- Managed account documentation, ensuring accuracy and compliance with regulatory standards.
- Coordinated client onboarding processes, enhancing overall client experience.
- Developed training materials for new staff, improving onboarding efficiency.
- Collaborated with financial advisors to streamline service delivery and enhance client satisfaction.
- Implemented process improvements that increased operational efficiency within the team.
- Assisted in the retention of high-value clients through proactive communication and exceptional service delivery.
- Responded promptly to client inquiries via phone, email, or face-to-face meetings, demonstrating commitment to exceptional service standards.
- Participated in training programs to stay current on industry trends and enhance skills necessary for successful client interactions.
Education
Business Communications -
Texas Tech University
Lubbock, Texas01-2015
Skills
- Private equity
- Maintain regulatory compliance
- Regulatory examinations
- Audit oversight
- AML and KYC procedures
- Risk mitigation
- Ethics management
- Contract review
- Investment management
- Administration management
Timeline
Director, Legal & Regulatory Compliance
DXD Capital
01.2025 - Current
Compliance Officer
DXD Capital
01.2024 - 01.2025
Investor Relations & Marketing Manager
DXD Capital
01.2023 - 01.2024
Investor Relations Associate
John Moore Associates (Raymond James)
01.2022 - 01.2023
Client Services Manager
Leonard & Martens (Raymond James)
01.2021 - 01.2022
Client Service Associate
Leonard & Martens (Raymond James)
01.2016 - 01.2021
Business Communications -
Texas Tech University
CONTACT
- PHONE: 903-718-7534
- EMAIL: tracidyer@yahoo.com