Catherine Dorna, CFA

Experience

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  State Street

  Mar 2005 - Jul 2007

  Senior Compliance Analyst

  o Collaborated with executive members of global institutional clients (ie. U.S. state and corporate pensions), in developing custom compliance reporting processes and portfolio testing methodologies.o Constructed client-defined testing used to verify portfolio holdings for up to 50 new funds a day and delivered daily to clients located in the U.S., Australia, Japan and Hong Kong.o Reviewed compliance reports generated by analyst team and guided analysts to clear false flags.

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  IA Clarington

  Jul 2007 - Sept 2010

  Analyst, Product Compliance

  o Implemented oversight system of Private Wealth Division by developing a suitability review for over 600 client asset allocations with results reported daily to Portfolio Managers.o Automated the process for testing Mutual Fund regulation, NI 81-102, and prospectus requirements across over 50 proprietary mutual funds as part of the in-house compliance team, run daily.o Designed proprietary process for preparing quarterly mutual fund factsheets.o Reported to CCO on critical issues including ABCP reviews and NAV impact for restructured securities, generated summaries and reports for officer and board meetings. Show less

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  Cougar Global Investments

  Oct 2010 - May 2015

  Senior Investment and Compliance Analyst

  o Licensed Portfolio Manager – Advising Representative and member of investment team of 6 managing global tactical model ETF portfolios for High-Net-Worth clients and advisor platforms. o Managed and achieved external GIPS verification of 10 years of performance history, a condition for the firm’s launch on an advisory platform, which grew to $2 billion in assets as of December 31, 2012. o Responded to RFPs and due diligence, gaining approval for firm strategies on 5 SMA/UMA platforms. o Provided CIO with research on macroeconomic environment, asset classes and ETF universe to assist with monthly asset allocation decisions.o Supported U.S. advisor platform relationships requiring travel throughout the United States. Show less

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  Dundee Global Investment Management

  May 2015 - Jan 2016

  Senior Analyst

  ETF Strategist Team

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  Frame Global Asset Management

  Oct 2015 - Dec 2022

  • Partner

    Oct 2015 - Dec 2022

  • Portfolio Manager and Chief Compliance Officer

    Oct 2015 - Jul 2018
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  Q Wealth Partners

  Oct 2018 - now

  Chief Compliance Officer