Doug Dakesian
Director Fund Compliance at Constellation Insurance, Inc.
- Role
- Director Fund Compliance at Constellation Insurance, Inc.
- Location
- Cincinnati, OH, US
- LinkedIn followers
- 500 followers
About Doug Dakesian
A CPA and compliance professional with progressive experience in financial services…
Experience
Director Fund Compliance
Jun 2021 — Present
Lead compliance oversight for Fund and Adviser activities, ensuring adherence to SEC, FINRA,and other regulatory requirements- Coordinate responses to SEC regulatory exams and manage the compliance interface with subadvisersand third-party vendors- Conduct annual due diligence on sub-advisers, pricing vendors, and fund companies with a focuson portfolio compliance, risk controls, and cybersecurity- Oversee compliance monitoring, risk assessments, and internal controls to identify and mitigatepotential fraud or regulatory breaches- Lead training for access persons on trade restrictions, political contributions, and ethics- Present compliance and audit results to the Fund Board quarterly, informing strategic riskdecisions- Support enterprise risk management through proactive identification of regulatory trends andimplementation of enhanced control frameworks- Develop policies as it relates to the Fund and Adviser (i.e, AML Adviser, Names, Valuation).
Education
Miami University
BS, Accountancy
2004 — 2008
Miami University
MS, Accountancy
2008 — 2009
Skills
- Microsoft Word
- Sarbanes-Oxley Act
- Auditing
- Financial Audits
- Internal Controls
- Internal Audit
- Accounting
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