Anastasia C.

About Anastasia C.

A financial risk and compliance professional with a Master of Science in Financial Risk Management from the University of Connecticut, with experience spanning hedge fund operations, regulatory reporting, and the development of control frameworks within complex financial environments.Background includes exposure to trading operations, performance analysis, and regulatory engagement across broker-dealers, counterparties, and oversight bodies, along with experience supporting regulatory filings such as Form PF and Form PQR. This foundation has evolved into a focus on operational risk, regulatory compliance, and the alignment of business practices with regulatory expectations.Current work centers on supporting the establishment and enhancement of compliance infrastructure within a global financial institution, including the development of policies, procedures, and internal controls associated with investment advisory activities. Emphasis is placed on translating regulatory requirements into practical, well-documented processes, strengthening data integrity, and ensuring readiness for regulatory oversight.Professional interests lie in advancing operational risk controls, enhancing regulatory alignment, and contributing to the resilience and transparency of financial systems. Focused on delivering data-driven, scalable compliance solutions that strengthen financial infrastructure and support the long-term stability and competitiveness of U.S. capital markets.

Experience

1. Senior Consultant

   SMBC Group

   Mar 2026 — Present · New York, NY, US

   Supporting the development and implementation of compliance infrastructure for a newly established SEC-registered investment adviser. Work focuses on aligning regulatory requirements with operational processes, including policy development, control framework design, and documentation supporting investment advisory activities. Collaborating across compliance, operations, and investment teams to support regulatory filings, including Form ADV, and to ensure consistency between disclosures and underlying business practices. Contributing to the establishment of governance structures, risk controls, and procedures to support ongoing regulatory compliance and operational readiness.

Education

• University of Connecticut-Stamford

  Master of Science (M.S.), Financial Risk Management

  2016 — 2018