Brandon Hicks

Experience

1. Vice President, Guideline Monitoring Manager

   Wellington Management

   May 2013 — Present

   Supervise a global team of guideline analysts focused on Equity, Alternatives and Multi Asset products. The team is responsible for reviewing investment management agreements, evaluating client guidelines and maintaining the guideline monitoring system, Fidessa Sentinel. Additionally, the team performs real-time pre-trade support for investors as well as researching and resolving intraday and post-trade exceptions. • Responsible for hiring, coaching and developing, performance reviews, and assisting with compensation of staff. • Focus on providing guidance and support to analyst team to ensure that day to day projects and initiatives align with the broader strategic vision of the group with a goal of reducing operational risk. • Point of escalation regarding resolution of guideline breaches for Senior Management, Portfolio Management, Product Management and Client Services. • Work cross functionally with internal stakeholders including Client Service, Product Management, Legal and Enterprise Risk, and Portfolio Management to establish and deliver capabilities that align with key stakeholder business priorities. • Ensure that daily compliance monitoring is completed with any issues being properly identified for resolution. • Partner with Guideline Management to move the department’s agenda forward by achieving workflow and process improvements, as well as building out the compliance monitoring system’s testing capabilities. • Represent the Guideline team for client meetings (due diligence, new business opportunities and other ad-hoc guideline related meetings) as well as internal and external audit. • Manage multiple cross-functional projects, including enhanced workflow solution for guideline changes, account lifecycle initiative, creation of enhanced testing capabilities, risk and control analysis, and other related initiatives.