Sheila Irizarry

Experience

• 

  Eaton Vance

  May 2004 - Jan 2022

  Administer code of ethics. Monitor personal accounts and trading for 1,000+ employees. Monitor employee compliance with quarterly and annual certifications. Conduct new employee training on various compliance policies. Process Section 16 forms. Perform testing of compliance procedures, document findings and make recommendations to improve processes and controls. Administer code of ethics. Monitor personal accounts and trading for 950+ employees. Monitor employee compliance with quarterly and annual certifications. Conduct new employee training on various compliance policies. Process Section 16 forms. Supervise third-party vendor services related to the Blue Sky filing of state notices. Prepare and review documentation of certain transactions and other account maintenance relating to Private Placements. Administer code of ethics. Monitor personal accounts and trading for 750+ employees. Monitor employee compliance with quarterly and annual certifications. Process Section 16 forms. Prepare and review documentation of certain transactions and other account maintenance relating to Private Placements. Prepare, maintain and monitor state notice filings. Monitor changes in state securities law.

  • AVP, Senior Compliance Analyst

    Nov 2019 - Jan 2022

  • Senior Compliance Analyst

    Aug 2018 - Nov 2019

  • Senior Compliance Specialist

    Jul 2016 - Aug 2018

  • Senior Compliance Specialist

    Nov 2012 - Jul 2016

  • Compliance Specialist

    Oct 2007 - Nov 2012

  • Blue Sky Administrator

    May 2004 - Oct 2007
• 

  Morgan Stanley

  Jan 2022 - now

  Vice President, Legal and Compliance