Greg Barner

Director of Operational Compliance @American Century Investments

Leads the Operational Compliance organization at American Century Investments and helps deliver strategic direction of the team. Responsible for control processes at American Century Investments to help meet regulatory compliance and protect our clients while creating the appropriate balance between risk management and client experience. Promotes a culture of compliance across the firm. Major Responsibilities: • Responsibility for fraud risk mitigation oversight including creating and evolving processes designed to monitor and detect potential suspicious activity in client accounts. Including but not limited to: Anti-Money Laundering, Identity Theft Prevention and Frequent Trade monitoring oversight. • Provide privacy leadership – take a leadership role in the corporate process for verifying compliance with privacy regulations and validation that customer and employee information is protected from inappropriate access. • Responsibility for transfer agency compliance oversight – stay abreast of regulatory changes impacting the transfer agency. Manage compliance risk to minimize company/client exposure. Responsibility for various aspects of Transfer Agency compliance including but not limited to: Transfer Agency accounting, Corporate Actions, escheatment, tax, compliance output and audit reporting. • Participate in enterprise vendor management process to set consistent process for evaluating third party vendor management risk. • Participate in fund board meetings and provide reporting. • Lead control organization and continuously improve the productivity, cost-effectiveness and quality of the department. • Prepare and implement development goals and objectives. • Assist in the development of the Client Operations department budget. • Provide leadership and management support for team members and managers, including mentoring, team building, setting expectations & performance appraisal, salary administration and staff support.