Carl Cochran

About Carl Cochran

Carl is a passionate and community-driven professional who strives to make a positive impact on those he interacts with.He is experienced in financial analysis, investment operations, and data-driven decision-making. Skilled in SQL, Power Query, Excel automation, and Power Apps, with a background in portfolio analytics, compliance, finance, accounting, and process optimization.Carl has worked extensively with hedge funds, CLOs, separate accounts, private credit, and alternative investments, supporting legal and compliance, portfolio management, reconciling financial data, and developing automated reporting tools. He brings a strong understanding of financial markets, investment guidelines, and risk metrics.A CFA Level II Candidate, he is committed to leveraging data and technology to enhance investment strategies, business decision-making, and operational efficiency.

Experience

1. Associate, Compliance Officer

   Westwood Holdings Group, Inc.

   Apr 2025 — Present · Dallas, TX, US

   Westwood Holdings Group is a focused investment management firm serving institutional investors, intermediaries, and private wealth clients across strategies including U.S. Value Equity, Multi-Asset, Real Assets, and Tactical Absolute Return. Supporting portfolios across asset classes and structures has strengthened my ability to apply regulatory frameworks within complex, real-world trading environments.As an Associate Compliance Officer, I translate regulatory obligations into practical system controls that govern investment activity at scale.• Design and maintain automated pre- and post-trade compliance rules aligned with SEC requirements, client mandates, and internal policy frameworks• Support regulatory reporting including 13F and beneficial ownership filings through structured holdings validation and reconciliation• Evaluate trading activity against regulatory thresholds such as ownership limits, concentration standards, and derivatives exposure• Translate regulatory concepts into system-driven rule logic governing portfolio construction and trade permissibility• Investigate trade exceptions and potential breaches by tracing execution pathways across OMS and EMSX workflows• Partner with Trading and Legal to assess complex strategies (including options structures) for regulatory and fiduciary alignment• Strengthen surveillance capabilities by improving rule coverage, data integrity, and workflow consistency• Monitor personal trading and access person activity in accordance with firm policy and regulatory standards• Embed regulatory logic directly into compliance systems to reduce reliance on manual review• Conduct compliance reviews of marketing materials and performance communications to ensure alignment with the SEC Marketing Rule and firm disclosure standards

Education

• The University of Texas at Austin

  N/A, International Business

• Seattle University

  Bachelor's degree, Corporate Finance, Fintech, and Data Analytics

• Northwest High School

  High School Diploma