Chet Bashari Anekwe

Vice President Lead Business Technologist @Neuberger

Los Angeles, CA, US

Lead IT Technologist for Legal & Compliance, Internal Audit and Operation business units, responsible for providing IT solutions to complex problems with workable solution architectures and assisting in build vs. buy decision for business unit applicationsInitiated and built the first Legal & Compliance IT team at Neuberger Berman, post Lehman Brother dissolution. Improved the Business surveillance compatibilities by centralizing the reporting engine and data collection.Lead IT point person supporting Legal and Compliance during multiple SEC and FINRA exams.Project manager and technical architect in creating proprietary flagship Compliance surveillance application, monitoring employee and client trading activity, leveraging the Microsoft stack with MSSQL database and.NET front endProject Managed and oversaw development to improve internal application to be in compliance with FATCA regulations. Oversaw changes to the new account workflow, FATCA verification and Entity management applications. Protect managed and designed internal Code Of Ethics Compliance reporting, which monitors all employee brokerage trading activity, for surveillance. ASP.NET, MSSQL dev stack employed.Designed and developed the firm wide European Financial Conduct Authority (FCA) reporting process, for all funds and accounts subject to daily transaction reporting. Creating stored procedures, leveraging internal data warehouse, and Sysadmiral, to report transactions.Designed and developed OFAC accounts and issuer screening process with 3rd party vendor application, WorldCheck.Designed and development Proxy paper process, with 3rd party vendor, Glass Lewis, to provide daily holdings and received proxy paper data to the relevant Legal and Portfolio management teams. MSSQL database and SharePoint employed in the technical solution.

Ahmadu Bello University

B.SC