Danny Fiore

Experience

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  Merrill Lynch

  Aug 1999 - Jul 2001

  International Compliance Specialist
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  U.S. Trust

  Jul 2001 - Sept 2004

  AVP of Compliance

  • Administered the Code of Ethics • Implemented CCH Examiner surveillance system• Imposed sanctions for employees who violated the Code of Ethics• Responsible for the approval for employees to do any personal trading• Administered and enforced U.S. Trust’s Business Ethics Policy• Trained new employees on the Code of Ethics and the Business Ethics Policy

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  Lord, Abbett & Co. LLC

  Jan 2005 - Sept 2018

  Code of Ethics Officer

  • Administer Lord Abbett & Co LLC Investment Adviser Code of Ethics required by the Investment Adviser Act of 1940• Implemented the Protegent PTA surveillance system (FIS) into Lord Abbett & Co LLC• Responsible for training all employees and all future employees on how to use the PTA system • Responsible for monitoring and executing the day to day activities that support Compliance with the Material Non Public Information Policy• Facilitate potential wall crossing opportunities• Maintain the restricted and watch list• Monitor SyndTrak, DebtDomain and Intralinks for private side information.• Analyze data to identify insider trading issues with employee trading• Impose sanctions for employees who violated the Investment Adviser Code of Ethics • Help formulate new policies and procedures for surveillance functions of Corporate Compliance• Responsible for the approval for employees to do any personal trading• Work with internal and external auditors with any audit issues• Train new employees on the Investment Adviser Code of Ethics and other important policies• Approve or deny exemptions for employees to maintain brokerage accounts for non approved Brokerage firms• Perform Policy and Procedure reviews• Responsible for the monitoring of the Gifts and Entertainment policy• Responsible for the Monitoring of the Pay to Play policy• Perform employee email reviews on a daily and as needed basis using Symantec Enterprise Vault Compliance Accelerator and Symantec Enterprise Vault Discovery Accelerator • Perform employee LinkedIn reviews daily and on a as needed basis using Global Relay• Responsible for employees quarterly transaction certifications, initial certifications and annual certifications• Assist with registrations, U4, U5, continuing education and other regulatory requirements for Broker-Dealer Show less

• 

  Prudential Financial

  Jan 2019 - now

  Compliance Manager

  • Collaborate with Senior Level Management and Section 16 Insiders to address personal trading concerns, ensure the timely filings of forms 3, 4 and 5, establish 10b5-1 plans, review pre-clearances and trading activity to ensure that there are no violations• Implemented the Compliance Solutions Strategies (CSS) system into Prudential Financial to streamline the process for the ADV, PQR and PF filings• Manage the ADV and PF filings for 14 of Prudential’s SEC registered investment advisers, including the coordination of various laws and compliance groups across the organization through CSS and the FINRA IARD system• Responsible for the submission of the 13G, 13F, and the 13H filings using the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system• Analyze and implement new regulatory filing requirements• Monitor trading activity during trading windows and blackout periods for employees restricted under Prudential’s Personal Securities Trading Policy• Manage, monitor and update the Enterprise Restricted List on a daily and as needed basis • Assist in the preparation and review of Prudential’s Proxy by reviewing for consistency and updating the Section 16 Insiders PRU stock holdings• Review daily reports for Prudential’s domestic and international equity holdings to ensure timely regulatory filings• Respond to monitored employees’ inquiries about reporting requirements, pre-clearance and personal trading questions• Responsible for the Suppression of Terrorism and Canadian Sanction filing using the Ontario Securities Commission (OSC) system Show less