Christi Powitzky

Subject matter expert for the SEC Marketing Rule. Conduct industry and firm-level training on the impact of the new Marketing Rule. Assess current marketing practices and conduct gap analyses for Investment Advisers to assess required changes to policies and procedures to comply with the new Rule. Work with clients to develop an implementation plan and train associates on requirements and changes associated with investment adviser marketing programs. Primary responsibilities include conducting mock SEC examinations, gap analyses and annual compliance reviews of registered investment advisers including private equity fund managers, venture capital funds, and hedge funds. Assist clients during SEC examinations including interview preparation, document production, document tracking while providing ongoing regulatory guidance. Create compliance policies and procedures, develop and oversee the implementation of solutions to effectively address the latest regulatory and operational challenges. Partner with clients to create and deliver ad-hoc and annual compliance trainings.

Act as a subject matter expert for the compliance review of US marketing materials to meet regulatory and firm requirements. Worked across business units to Identify potential legal impact and research issues related to advertising and sales materials based on current regulatory standards. Present business unit managers with the results of this research including interpretations, findings, and recommended actions. Respond to FINRA comments on advertising and sales materials, negotiates proposed changes with FINRA. Communicate overall impact of FINRA changes and comments to business units, and communicate outcomes and required changes to all business unit managers. 
Act as the communications compliance subject matter expert for Exchange Traded Products, and worked alongside the lead working group with representatives from Legal & Compliance, Tax, Marketing and the distribution units to bring the T. Rowe Price Actively Managed ETFs to market. Partnered with web development teams and marketing to ensure that the ETF websites and marketing materials are consistent with regulatory guidelines and SEC requirements for exemptive relief. Worked with Brand and internal training teams to develop framework for and deliver ETF marketing and training guides.

Ran the compliance program for a Private Fund with $3B AUM. Responsible for all aspects of the Firm’s compliance program- code of ethics, internal policies and procedures, AML, and training. Responsible for oversight of portfolio company compliance in line with Loan Term Agreements. Monitored side letter arrangements for limited partners. Tracked public equity holdings and file as necessary. Responsible for updates and amendments to the ADV. Reviewed and approved all marketing material before use. Reported on the status of the compliance program to president and Chief Compliance Officer quarterly. Spoke to Limited Partners regarding the role of compliance at the firm. Monitored email and social media usage. Responsible for all Corporate Secretary matters- filing for new entities, annual reporting, and dissolution of partnerships for more than 60 entities.

Responsible for overseeing FINRA and SEC compliance for financial advisors across four states within the JP Morgan Chase footprint.

Responsible for all aspects of advisory compliance for Invesco PowerShares ETFs including analyzing and reporting of ongoing risk assessments, the development and implementation of over 50 written policies and procedures and acted as the primary contact for all internal audits and regulatory exams conducted by the SEC, CFTC/NFA and FINRA. Managed a team of four compliance officers located in Houston, TX and Downers Grove, IL. Led the compliance work stream for the successful listing of over 40 exchange-traded funds including the firm’s first commodity exchange traded funds. Designed and implemented a successful new compliance program in accordance with CFTC Rules which allowed the Adviser to list alternative exchange traded funds. Consulted and advised with internal legal and outside legal counsel on the preparation of all Board compliance materials including agenda, quarterly Trusts and Advisor’s CCO Reports and disclosure matters. Developed a comprehensive oversight program which significantly mitigated risks of sub-advisors and third-party service providers including annual due diligence reviews, quarterly board reporting and on going risk assessments. Collaborated with an affiliated advisor on a new comprehensive process for the review of all policies and procedures which covered over 1,000 employees.

Sr. Compliance Officer- Equity Monitoring 2012 – 2013 Responsible for the monitoring of more than 30 small-cap and international products. Responsible for the creation of all new sites, lists and libraries for the Invesco North America Compliance Program internal website. Responsible for training and development, specifically the functionality of CRD, Portia, and SharePoint and the fundamentals of equity compliance monitoring. Sr. Compliance Officer- Marketing 2010 – 2012 Responsible for all technology-driven Compliance initiatives including the Invesco Social Media presence and all internal website development and maintenance. Primary contact for Invesco eBusiness and all Invesco.com related projects. Led the Compliance work stream for the Invesco.com redesign project. Responsible for training junior Compliance Officers on departmental policies and procedures and FINRA and SEC regulations as applicable to sales material. Worked extensively with Invesco Marketing Managers to develop materials that meet regulatory standards, while ensuring they are aware of regulatory changes that will affect their marketing strategies.

Developed branding strategy for two local investment advisers including new logos, website, redesign of existing and all future marketing materials. Formulated marketing plan both offices, consisting of 600 clients, 400+ prospects and approximately 200 connections. Responsible for researching and selecting software for email marketing as well as video emails. Produced all marketing literature for the firms including bi-weekly emails, quarterly newsletters and factsheets, all presentations, brochures, and form-letter correspondence. Worked extensively with broker-dealer compliance to ensure that all marketing material was consistent with FINRA standards.

Sales & Strategy Analyst 2006 - 2008 Researched and designed marketing strategies for retail and retirement marketing. Responsible for the sales support for all retirement initiatives. Maintained the sales program pipeline, working with departments across the organization to report on the status of the development and implementation of all new programs to upper management. Ensure that all compliance requirements are met for materials produced by AIM and third party sub advisors. Financial Writer II 2005-2006 Responsible for the project management, compliance requirements, and the writing of marketing materials. Coordinate design team, compliance and product management reviews of marketing materials to ensure consistency across product lines- including retail, variable insurance, offshore, and private asset management products (75+ products). Senior Sales Analyst 2004-2005 Responsible for the origination of creative sales ideas and tools for the outside sales force. Conceptualized sales ideas to complement the division’s existing marketing plans. Responsible for ensuring that all materials complied with FINRA standards. Supervisor-Marketing Research & Analysis 2000 - 2003 Responsible for all performance related statistics for AIMs Retail, Offshore, Institutional, VI/Sub- advised, and Private Asset Management marketing channels. Performed and analyzed current product line offerings as well as opportunities for product development. Responsible for the training and support of six analysts, delegation of work assignments, establishing priorities, and setting deadlines.