David Vallon

SVP, CCO @Natixis Investment Managers

Boston, MA, US

Responsible for directing compliance operations for the registered investment adviser and represent the company at regulatory exams of the adviser. Administer, enforce and report on the firm’s compliance program under Rule 206(4)-7. Oversee the Firm reporting of all regulatory filings (13D/13F) as well as liaison with insurance carriers for appropriate ERISA bonding. Oversee Adviser compliance program by directing personnel in maintaining an effective compliance program across two offices (San Francisco, CA and Boston, MA) for over 450 employees and an affiliated foreign compliance office (Paris, FR). Oversee the administration of the Firm’s Code of Ethics and Employee Political Contribution Programs, including the automation implemented for each robust program (ACA). Developed data mining tools PowerBI to establish oversight into the operational departments, evaluating for Conflicts of Interest. Develop and update written policies and procedures and compliance manuals. Developed governance committee structure to unify investment groups while ensuring fiduciary requirements. Developed the Artificial Intelligence (AI) Governance Committee and risk rating process to allow use while protecting PII security. Developed the Due Diligence Committee to evaluate affiliated/non-affiliated sub-advisors. Conduct due diligence reviews of sub-advisors as well answer RFPs, RFIs and Due Diligence visits by outside parties. Co-Chair the Ethics & Supervisory Committee to evaluate firmwide compliance violations and policy adherence. Developed a Compliance violation reporting system to consolidate infractions from various compliance programs in central, consistent way. Assisted with the development of the Security Incident Response Team to ensure appropriate response if security breaches are encountered both physical and cyber. Assist broker-dealer compliance on licensing and supervisory programs, including needed/annual training, email, text, and social media reviews.

UC Irvine

Bachelor of Arts, Political Science