Christian Bellino
Compliance Director @Prudential Financial
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WORK HISTORY
Compliance Director @Prudential Financial
Newark, NJ, US
Manage Fixed Income guideline monitoring team covering over $600 billion in assets under management. Investment Company Act of 1940 and Investment Advisers Act of 1940. Surveillance of investment guidelines and interpret complex subjects including ’40 Act and UCITS regulations. Rule coding and testing. Compliance Audits and Risk Assessments. Business Analysis and Project Management. Broad knowledge of fixed income asset classes and investment strategies. Translate client guidelines and regulations into front-end and back-end compliance rule logic. Analyze coding and test system controls for existing clients and on-boarding new accounts. Perform analysis of workflows to improve efficiency and effectiveness of processes including identifying and automating manual processes. Develop front-end controls for Central Clearing of Swaps complying with Dodd Frank protocol. Advise the Investment team and Client Service on various interpretative questions. Surveillance and testing controls for PERS, ERISA, Mutual funds, and Separate accounts.Review monthly and quarterly compliance reports and attestations. Develop and maintain Standard Operating Procedures for Compliance Control Activities. Respond to internal and external audit inquiries including SSAE 16.Serve as liaison with Operational Risk Management and provide detailed controls for SOX testing reviews. Lead new hire Compliance training sessions covering employee conduct, regulatory policies, external interactions, policies and procedures. Implementation and maintenance of Environmental, Social & Governance (ESG) monitoring. In 2012, Managed project to review requirements and re-test compliance rules for all Fixed Income portfolios. Identified and interpreted ‘40 Act rules, including but not limited to Rules 2a-7 and 12d3-1; and investment guidelines in various legal documents.
EDUCATION
University of Delaware
BA, Marketing
SKILLS
ABOUT CHRISTIAN BELLINO
Compliance Director with asset management experience performing diverse compliance duties. Strong analytical, leadership and team building skills. Extensive project management and business analysis experience leading the delivery of operational improvement initiatives to internal business units. Ability to integrate relationship building, analysis, and negotiating skills to implement significant change initiatives.
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