Asset Management Compliance Cover Letter

I am excited to be applying for the position of asset management compliance. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for strategic advice and guidance on implementing Sarbanes-Oxley requirements, and regulations pertaining to data privacy and security, working closely with the Finance, Engineering, Communications, Government Relations, and Operations Teams.

Please consider my qualifications and experience:

• Provide compliance approval of staff trading, marketing and cross border activities
• Draft and implement policies, procedures and controls
• Strong knowledge of investment funds and portfolio management firms, products, operations and systems combined with in-depth understanding of and experience with compliance risks and controls assessments
• Strong understanding of all significant regulatory compliance requirements applicable to the business
• Good knowledge of the regulatory framework for global banking and securities institutions, with an overall understanding of regulations relating to retail brokerage, proprietary trading, investment adviser, alternative investments and other complex financial products
• Coursework or experience related to legal, regulatory or business topics
• Good knowledge of IRS requirements
• Past experience from working in a financial regulator - ideal

I would like to submit my application for the asset management compliance opening. Please accept this letter and the attached resume.

Previously, I was responsible for strategic guidance to determine key investment areas and roadmaps in systems infrastructure and platforms working with Infrastructure services tower directors.

Please consider my qualifications and experience:

• Some relevant financial services work experience (preferred)
• Previous project / work stream experience welcome
• Familiarity with healthcare/medical device industry compliance regulations is preferred
• Excellent detail/problem solving skills are essential
• Proficiency in Microsoft Office, Visio and MS Project is preferred
• Passion for delivering the highest quality platform is necessary
• Experience working in agile & live ops environments is essential
• Knowledge or project management and service operations is essential

I submit this application to express my sincere interest in the asset management compliance position.

Previously, I was responsible for subject matter expertise and oversight on Compliance activities with applicable laws and internal/external regulations (Sarbanes Oxley, Privacy/GDPR, China CyberSecurity Law, IT Service Continuity, etc.).

Please consider my experience and qualifications for this position:

• Knowledge of MPF regulations and SFC Codes and requirements
• Excellent communication and qualitative analytical skills
• Team and solution-oriented approach
• Experience of cross border policy work would be preferred but other relevant compliance backgrounds will be considered
• Strong knowledge of IRS requirements
• Specialised knowledge of UCITs rules and cross-border issues working knowledge of other key European Union (EU) and UK regulations including MiFID, EMIR, MAR, short-selling, TOP rule book, FSA handbook etc
• Demonstrates decisiveness and is action oriented
• Executes the US Wealth Compliance program on behalf of the CCO pursuant to the regulatory requirements of TDAM USA, a US SEC registered '40 Act Investment Adviser

I submit this application to express my sincere interest in the asset management compliance position.

In my previous role, I was responsible for subject matter expertise on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations including OCC, FRB and FDIC.

Please consider my qualifications and experience:

• Manages the review of TDAM USA advertising and marketing material pursuant to regulatory and internal requirements
• Provides on-site advice to TDAM USA business managers on compliance and regulatory matters and works in partnership on new projects implemented by the line of business
• Advises on independent targeted compliance reviews that measure adherence to federal and state law regulatory requirements impacting business lines to ensure compliance with internal and external policies and procedures
• Reviews and maintains Compliance Policies, Procedures, and Documents relevant to TDAM USA
• Administer the ongoing review of TDAM USA's Form ADV
• Oversee the completion of all of TDAM USA’s Investment Adviser Registration Depository (“IARD”) filings with the appropriate state and federal regulators
• Assists in executing US Wealth's Regulatory Change Management Program and updating the ACM tool
• Identifies and analyzes compliance issues to determine root causes

In response to your job posting for asset management compliance, I am including this letter and my resume for your review.

In my previous role, I was responsible for independent effective challenge and oversight with respect to regulatory risk by developing and maintaining the Enterprise Compliance Program;.

My experience is an excellent fit for the list of requirements in this job:

• Training experience and strong presentation skills are preferred
• Extensive experience with fixed income instruments and the development, implementation and management of portfolio management and trading regulatory compliance programs
• In depth knowledge of the US federal securities laws (e.g., Investment Advisers Act of 1940)
• Strong academic background, professional qualification or regulatory background lawyer, accountant and/or ex regulator
• Expert in registered funds law and regulation and other funds and asset management products and services
• Capable of operating comfortably within a complex and global organizational structure
• Expert Asset Management, fiduciary, RIA, industry knowledge
• Financial services experience, preferably in Internal Audit, Testing/Monitoring, Regulatory Examinations related roles or Big 4 Audit experience