cheryl schmitz

associate vp, compliance

Country

united states

City

los angeles

Industry

investment management

Skill

securities, alternative investments, investment advisers act, investment company act, finra, mutual funds, project management, asset management, regulatory compliance, equities, series 7, management, compliance testing, process improvement, investments, fixed income strategies, business development, proposal writing, financial services, hedge funds, equity strategies, institutional client service, fundraising, people management, anti money laundering, due diligence, internal controls, innovator, internal audit, private equity, investment management, global regulatory compliance, regulatory filings, risk assessment, risk based testing, code of ethics, dodd frank, institutional investments, metrics reporting, regulatory reporting, advertising and marketing review

Experience

compliance officer, vp, regulatory compliance

first pacific advisors (fpa)

2010-8 - 2013-7 · 3 yrs

* Ascertained adequacy and effectiveness of policies and procedures under Rule 38(a)-1 and assist CCO in administration of Rule 206(4)-7 ensuring compliance with Federal Securities Laws * Led all aspects of firm becoming GIPS compliant, worked across business units to revise and recalculate firm composites, draft GIPS Policies and Procedures Manual * Conducted audits of investment advisor (IA) and broker-dealer (BD) policies and procedures * Conducted advertising regulatory review of website and web hosted presentations for appropriate disclosures and manage FINRA filing via FINRA’s Advertising Regulation Electronic Files (AREF) system * Assisted CCO in the annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act and preparation for regulatory exams

client service officer and institutional business development, assistant vice president

first pacific advisors (fpa)

1992-1 - 2010-8 · 18 yrs 8 mos

* Senior client service and business development responsibilities required compliance oversight, including retention of existing client business relating to institutional advisory accounts, registered and unregistered investment companies managing a team of four and supporting business efforts of third-party marketing firm * Coached, trained, supervised, and hired team of 4; responsible for organization, prioritization and motivation of team during substantial growth from $2B to $15B AUM * Principal contact to 39 separate account clients whose assets ranged between $5-$750 million * Analyzed, developed, and implemented departmental policies and procedures including streamlining of intradepartmental data collection procedures

associate vp, compliance

ares management

2018-1 - Present · 8 yrs 9 mos

compliance officer - regulatory compliance

pimco

2013-7 - 2018-1 · 4 yrs 7 mos

* March 2014 * present 206(4)-7 & 38a-1 Compliance Reporting Advertising/Marketing Review March 2014 * December 2015 206(4)-7 & 38a-1 Compliance Reporting GIPS Composite Management July 2013 * March 2014 Global Advertising/Marketing Review focusing on Alternative products Working Groups * Compliance Policy Governance * Inclusion, Diversity & Culture * WLN * AML Working Group (completed)