Colin Geelan

Compliance Analyst @Garda Capital Partners

Wayzata, MN, US

Leading and collaborating on core compliance efforts, including SEC and NFA regulatoryreporting, Rule 204A-1 trade surveillance, and counterparty due diligence• Created reporting workflow through Excel to flag potential insider and restricted trades,highlighting 50-100 trades monthly and fulfilling institutional investor reporting requests• Coordinated reporting efforts for the firm’s first SEC Form NP-X by drafting equity proxy votingrequirements with counterparty• Led efforts to create a firmwide workplace concern reporting website, which allows for anonymousemployee reporting across four jurisdictions• Utilized Bloomberg Terminal to automate the firm’s reporting process for SEC Form 13F and 13G,significantly reducing dependency on prior manual entry system while increasing data quality• Regularly onboard new employees and gather materials required by the SEC, such as personalaccount information, political contributions, and OBAs

University of St. Thomas

Bachelor of Business Administration - Business Law & Compliance