Marina Sigal Oerman, JD, IACCP

Experience

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  Cumsky & Levin LLP

  Feb 2005 - Aug 2005

  Law Clerk

  - Compiled paperwork for upcoming closings which included purchase and sale agreements, titles, deeds, and powers of attorney. - Obtained certificates of good standing to gauge whether a client was eligible to close on a property.- Drafted memoranda to clients, updating them on the documents that were obtained and steps taken in the closing process. - Performed research on legal issues such as zoning laws in various cities.

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  Russell Reynolds Associates

  Sept 2005 - Jun 2006

  Executive Recruiting Intern

  - Conducted research to expand candidate pool for potential clients.- Reformatted executive resumes to meet company standards and verified educational background of candidates to ensure validity.

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  State Street

  Jun 2006 - Mar 2007

  Corporate Actions Analyst

  - Contacted institutional clients regarding corporate actions such as mergers, acquisitions and dividend reinvestments to ensure appropriate investment decisions were made.- Researched and reconciled corporate actions which had share amount discrepancies.

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  NEPC

  Mar 2007 - Aug 2011

  Senior Portfolio Analyst

  - Supervised team of five employees; conducted year-end reviews and held monthly meetings.- Interviewed and trained new employees in the Portfolio Analyst role; assembled a comprehensive training manual for the company.- Conducted cost-benefit analysis to determine whether it is profitable and effective to get data automatically through a third party.- Prepared compliance and regulatory reports and assisted in completion of due diligence procedures. - Ensured company practices are in compliance with both the Investment Company Act of 1940 and Investment Advisers Act of 1940. - Reviewed client contracts and non-compete agreements and negotiated terms of those agreements. - Analyzed monthly accounting data to measure investment performance of roughly 350 portfolios. - Interacted with custodian banks to gather monthly data to assess performance of clients’ portfolios. - Created customized graphs and reports to provide clients with an accurate presentation of their portfolios. Show less

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  Massachusetts Appeals Court

  Mar 2010 - Aug 2010

  Legal Research Assistant

  - Compiled a list of factors to help determine whether an appeal should be expedited for the Appellate Court Justices. - Contributed to the Hearsay Exceptions explanation section of the 2010 Massachusetts Rules of Evidence.

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  Law Office of Tyler H. Fox

  Dec 2010 - Feb 2011

  Employment Law Associate

  - Led an initiative to promote awareness of immigrant victims facing sexual harassment discrimination in the workplace. - Drafted complaints and motions to compel for interrogatories; conducted interrogatories and researched jurisdictional issues.

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  LMCG Investments

  Aug 2011 - Jan 2015

  Compliance Officer

  • Supervised one Compliance staff member within the Compliance group.• Completed State and SEC Regulatory forms and filings, including but not limited to, the ADV, 13D/G’s and U4/U5’s for Investment Advisor representatives. • Coded client investment guidelines in the EZE Castle Pre-Trade and Post-Trade Compliance system. • Performed trade reviews to determine compliance with client account guidelines for both retail and institutional clients. • Performed monthly and quarterly compliance tests and researched any issues. • Drafted Compliance Policies and Procedures for the company.• Reviewed and approved marketing materials for distribution. • Completed monthly and quarterly compliance reports and certifications for institutional clients.• Conducted due diligence meetings for institutional clients. • Completed OFAC/Anti-Money Laundering checks. • Monitored Code of Ethics requirements and reporting. • Reviewed and approved employee personal trades to prevent any potential insider trading issues. • Reconciled employee pre-clearance reports to employee personal trading statements on a monthly and quarterly basis.• Conducted annual Compliance Training for all employees within the company. • Reviewed and updated investment advisory agreements and solicitation agreements for the company. • Negotiated and reviewed all third-party contracts from initial phase to execution of the contract. Show less

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  Fidelity Investments

  Jan 2015 - Dec 2016

  Director of Compliance, Asset Management

  • Managed three team members within the Regulatory Reporting group and ensure all Section 13 and Section 16 SEC filings are completed accurately and timely.• Led all Global Regulatory Reporting meetings and Legal meetings to address issues and regulatory questions arising in the United States, Hong Kong and United Kingdom offices.• Completed all gaming applications and waiver applications to allow for greater ownership limits in gaming securities.• Ensured Canadian Alternative Monthly Reporting (AMR) filings are completed each month through SEDAR.• Conducted analysis of current procedures to automate manual processes and increase efficiencies for the team. • Drafted Regulatory Reporting internal procedures to document processes.• Escalated and address any late/revised/rescinded filing issues and ensure processes are in place to mitigate risk. • Analyzed regulations with Legal and maintain a Legal matrix of guidance around the Investment Company Act, Investment Advisers Act and Securities Act.• Directed initiative to track Regulatory Reporting regulation updates within the North and South American jurisdictions for country ownership limit rules using RuleFinder.• Completed six month long Managing@Fidelity training program and received first place award for final project and participation. Show less

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  Wellington Management

  Jan 2017 - Mar 2019

  Legal & Compliance - US Compliance

  • Led the Code of Ethics function by monitoring personal trading, outside business activities, gifts/entertainment and private placement requests for ~ 4,000 employees and consultants, using Protegent PTA. • Coordinated and administered a global training program across US, London and APAC regions.• Successfully project-managed a routine SEC examination for the firm by engaging with examiners, delivering all requested materials accurately and timely and participating in on-site interviews. • Assisted CCO with Annual Review and core compliance function.• Built a Compliance Program for Wellington Management Canada ULC with the entity’s CCO.• Drafted a “Regulatory Examination Playbook” to provide a roadmap for handling future regulatory examinations, which was shared and utilized globally across the Legal and Compliance department. • Built requirements, developed a plan and worked closely with IT to cultivate a new service platform where investment professionals could disclose conflicts of interest information and whereby Compliance could better monitor, maintain and analyze that information for business management reporting.• Analyzed Custody Rule and new SEC guidance that was issued in early 2017 to ensure compliance with the regulatory landscape.• Drafted internal procedures to address custody of private placement investments. Show less

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  Silicon Valley Bank

  Mar 2019 - Apr 2023

  • Ran the entire SVB Asset Management (RIA) Compliance Program with supervisory responsibilities of two Compliance employees. • Took on all responsibilities of the CCO, while the CCO was on medical leave, for 9+ months.• Made all hiring decisions for SVB Asset Management Compliance and facilitated onboarding and training. • Worked with internal and external auditors on all Compliance reviews, testing and the annual 206(4)-7 review. All reports have been clean with only minor, low-risk recommendations noted, which have all since been implemented. • Led all annual, quarterly and ad hoc Compliance trainings for the SVB Asset Management business. • Provided compliance and regulatory advisory support to SVB Asset Management and SVB Capital (private funds business). • Compliance lead in all SVB Asset Management initiatives such as compiling a risk assessment, drafting policies and procedures such as the Code of Ethics and Compliance Manual and key stakeholder in all new business initiatives (such as new investment strategies, updated fee structure and investment policy changes). • Reviewed and approved all marketing materials for clients and prospects of SVB Asset Management and SVB Capital. • Ensured SVB Asset Management is in compliance with all provisions of the SEC’s New Marketing Rule by training and drafting reference materials for the business. • Compiled and filed all annual and off-cycle ADV amendments and ensured delivery requirements are met. Show less • Support the Code of Ethics function by monitoring personal trading, outside business activities, gifts/entertainment and private placement requests, using Compliance Alpha (ACA Platform). • Maintain and manage all Compliance violations for SVB Asset Management. • Provide Compliance Training for all SVB Asset Management Access Persons and new hires. • Manage Operational Risk Events for SVB Asset Management; ensure risks are addressed, root cause is identified and measures are taken to prevent these events from occurring in the future. • Perform Due Inquiry responsibilities for Custody Rule requirements. Show less

  • Chief Compliance Officer, SVB Asset Management

    Apr 2023 - Apr 2023

  • Senior Compliance Manager, VP

    Mar 2021 - Apr 2023

  • Compliance Manager, VP

    Mar 2019 - Mar 2021
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  Western Technology Investment

  Apr 2023 - now

  Director of Compliance and Operations