Catherine Newcomb Email & Phone Number
Chief Compliance Officer @ Nicholas Investment Partners, L.P.
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Catherine Newcomb Location
- San Diego, CA, US
Catherine Newcomb Work
- Chief Compliance Officer @ (November 2011 - Present)
- Head Trader and Operations Manager @ Freeman Investment Management, LLC (January 2008 - January 2011)
- Operations Manager and Head Trader @ Harlingwood Capital Management (January 2003 - January 2007)
- Senior Trader, Vice President @ Nicholas Applegate Capital Management (January 1987 - January 2002)
Catherine Newcomb Education
- National University
Bachelor of Administration (Finance and Banking)
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
- AML, OFAC and KYC reviews
- Conduct compliance monitoring and testing of internal and external controls
- Evaluate new regulations and industry best practices
- Fund financial reviews
- Guidance on rules and regulations relating to trading, operations and marketing
- Implementation and review of cybersecurity policy
- Investor onboarding
- Manage pre-trade and post-trade issues in the OMS
- Perform qualitative and quantitative data analytics
- Responsible for PNP and COE handbooks
Catherine Newcomb Summary
- Catherine Newcomb, based in San Diego, CA, US, is currently a Chief Compliance Officer at Nicholas Investment Partners, L.P.. Catherine Newcomb brings experience from previous roles at Freeman Investment Management, LLC, Harlingwood Capital Management and Nicholas Applegate Capital Management. Catherine Newcomb holds a Bachelor of Administration in Finance and Banking @ National University. With a robust skill set that includes 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 and more. Catherine Newcomb has 3 emails and 5 mobile phone numbers on RocketReach.
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