Catherine Newcomb Email & Phone Number

Catherine Newcomb Skills

• Guidance on rules and regulations relating to trading, operations and marketing
• Conduct compliance monitoring and testing of internal and external controls
• Development and administration for compliance training
• Perform timely compliance reviews of processes in all areas of the firm
• Assist with regulatory inquiries and changes
• Oversee soft dollar budget and payments
• Risk Assessment
• Perform qualitative and quantitative data analytics
• Responsible for PNP and COE handbooks
• Evaluate new regulations and industry best practices
• Implementation and review of cybersecurity policy
• Investor onboarding
• AML, OFAC and KYC reviews
• Oversight and monitoring of outside business activity for firm
• Devising new controls and reports - ongoing
• Manage pre-trade and post-trade issues in the OMS
• Work with Client services and Marketing team for compliance related matters including review of client and prospective investor communications, website etc...
• Monitoring of firm and employee conflicts of interest
• Conducting compliance interviews and training new employees
• Maintain compliance logs, monitor applications and back testing results
• Coordination of complex compliance activities and needs
• Review of emails, instant messaging and other various forms of communications
• Proficient knowledge of Microsoft applications including Word, Excel and Outlook
• Subject matter expertise through on-going education and training activities
• Maintenance and needs to be GIPS Compliant
• Fund financial reviews