🔰 Alex Paz 🧙‍♂️

not in #hr, but geek out on all things #people, #hrtech and #futureofwork | hype man for #diversity in #sales 🇵🇭🇺🇸 | coach for early career sellers | 90s music & kicks are my jam | follow, ring the 🔔 and let's grow!

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Alex Paz

ACA Group

ACA Group is a leading global provider of governance, risk, and compliance ("GRC") solutions to clients in the financial services industry. In her role, Ann provides compliance consulting to investment advisor clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, risk assessments, and acting as an outsourced chief compliance officer. She is solutions-focused and collaborates effectively with business partners, clients, industry colleagues, and regulators.

Senior Principal Consultant, Outsourced Chief Compliance Officer

Foreside Financial Group, LLC

Foreside offers customized compliance and technology solutions to the investment management industry, which includes providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments.

Senior Director

AdvisorAssist

AdvisorAssist provides comprehensive, turnkey solutions for both new and transitioning advisors as well as established registered investment advisor (“RIA”) firms. As a national leader in RIA registration, transition, and compliance support services, AdvisorAssist provides actionable advice and execution to advisors to launch and protect their advisory firms. From concept through launch, we partner with advisors to assist in building world-class advisory practices. For established firms, we provide the ongoing compliance, risk management and strategic support that enables advisors to focus on growing their practice.

Assistant Vice President, Senior Compliance Consultant

Elinphant, L.L.C.

Elinphant is a start-up firm providing  governance, risk management, and compliance service solutions to both registered and unregistered financial services organizations. Elinphant's goal is to provide cost conscious process and program improvement solutions for our clients that are sustainable and meet regulatory requirements. Elinphant employees are senior compliance officers with experience spanning a multitude of financial firms, which allows each employee to mold the services provided to the customer’s business needs and risk tolerance.

Executive Director, Boston

ReGroup, LLC

Ann joined ReGroup in 2014 and has participated in multiple client projects including compliance manual development, code of ethics creation, compliance system assessment, annual reviews, and employee training. ReGroup was founded in 2002 as an interdisciplinary consultancy dedicated to providing strategic and tactical guidance to investment advisers, boards of directors, hedge/private funds and broker/dealers regarding multiple business areas, including business strategy, organizational and business development, governance, operations, compliance, due diligence, executive coaching, and employee education.

Consultant

Liberty Mutual Group Asset Management Inc.

As Director of Investment Adviser Compliance, reported to Adviser’s Chief Compliance Officer and works closely with the Compliance team, inside and outside counsel, the portfolio management teams, service providers and executives throughout the Adviser and the parent firm, Liberty Mutual Insurance. Provided leadership and guidance related to the effective implementation of processes, governance, systems, and resource allocation against evolving regulatory requirements. Managed the preparation and reporting for all adviser related boards and committees and participate as a member of the Compliance Committee.

Director of Investment Adviser Compliance

Hermes Fund Distributors LLC

As CCO, create and maintain the compliance program for the broker/dealer, and provide employee training and guidance to ensure compliance with all applicable company policies and regulations. As President and Principal, responsible for the management and oversight of the broker/dealer and its employees. Educate employees within Hermes on how the broker/dealer works and how products can be sold through the entity.

President, Chief Compliance Officer

Hermes Fund Managers (North America) LP

As CCO, create and maintain the compliance program for the adviser, and provide employee training and guidance to ensure compliance with all applicable company policies and regulations. As COO, oversee all aspects of office management, including budgets, healthcare/retirement benefits, bill paying, vendor selection, and insurance coverage.

Chief Compliance Officer/Chief Operating Officer

Standish Mellon Asset Management

Participated in testing and maintenance of the SEC Compliance Program and internal and external audits. Oversaw GIPS composite maintenance, external audits, and was Chair of the GIPS Committee. Primary contact for advertising review including separate account and fund presentations, white papers, reprints, and miscellaneous marketing collateral. Main contact for shared selling groups within The Bank of New York Mellon (BNYM) to coordinate use of Standish materials. Coordinated new account and account maintenance processes, including IMA negotiation/amendment and on-boarding of clients for both US and non-US clients.

Assistant Vice President, Senior Compliance Officer

Franklin Portfolio Associates

	Created and oversaw maintenance of an RFP database.
	Established procedures for all facets of team’s responsibilities and created systems to track multiple levels of client, employee, and team workflow information.
	Initiated and ran a project to automate net of fees performance calculation to help streamline monthly/quarterly reporting process. 
	Created Lunch & Learn education program for Marketing Support and Operations Teams in order to have junior team members learn about other parts of the company and gain a better understanding of how they contribute to the firm.
	Helped to bring eASE Exchange application on-line. Worked closely with vendor (eVestment Alliance) and various internal departments to ensure fair and accurate representation of firm and product data.

Assistant Vice President, Marketing Manager

A solutions-focused professional with over 30 years of wide-ranging industry experience. Extensive knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules. Recognized for being both abreast of developments in the regulatory and governance environment, and proactive in areas related to compliance education and training. Adept in identifying gaps and/or risk exposure as well as developing and implementing appropriate monitoring programs. Demonstrates the highest level of integrity. Optimistic leader with an entrepreneurial can-do attitude, coupled with a firm and pragmatic approach. Well-rounded management style that creates common vision and forges positive relationships. Eager to learn and willing to put in the time and effort to see a job done right.

taplio

The Battle

Alex Paz

Ann Keitner

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