Kathleen Hendriks

About Kathleen Hendriks

Accomplished, highly experienced compliance professional with MBA, 20+ years in compliance and 25+ in compliance or marketing roles in institutional advisory firms of all sizes. Demonstrable success in developing, implementing, and maintaining compliance/operational risk management programs across various organizational structures for mid-to-large Registered Investment Advisers. Diverse hands-on experience overseeing Investment Company Act and Investment Advisors Act requirements, strengthening policies and procedures to address conflicts of interest and preventing violations while leveraging company/affiliate resources. Comprehensive knowledge of U.S. and global equities, high yield bonds, mezzanine, bank loans, CLO funds, and private funds as well as investment guideline monitoring for majority of these asset classes. Build/elevate relationships amongst business units while striving for compliance objective best practices with constrained resources. Have authored, revised, and audited numerous compliance policies and procedures, including writing marketing policy to meet 2022 updated SEC Rule. Conduct annual 206(4)-7 program quarterly best execution and monthly pricing testing, amongst others. Coordinate and file Form ADV 1A & 2A-B, Form PF, Form D exemption filings and renewals, state (and city) official lobbyist registrations, CPO/CTA registration exemptions through NFA, and AML policy updates, questionnaires and annual training. Oversee monitoring of personal trading, private information & securities watchlist, conduct counterparty and client (compliance) onboarding, and have facilitated SEC presence examinations (e.g. 2017 sweep, 2005 full exam). Great writing skills.

Experience

1. Senior Compliance Officer

   Post Advisory Group

   Sep 2015 — Present · Los Angeles, CA, US

   Oversee compliance policies testing, personal trading/G&E surveillance, Form ADV & Form PF compellation and submittal of filings, and Form D exemptions/renewals for this RIA with $16-17 B AUM in high yield, CLO, and Structured Credit strategies. Also oversee governmental official lobbyist registration & reporting for 8 states and NY City, maintain broker trading approvals/vetting, private info watchlist, handle AML/CTF screening/sanctions and Canadia province reporting. Conduct best execution policy, pricing policy testing for Advisers Act 206(4)-7 and other regulations (also COE, IMAs/fees, insider trading, etc.), author and revise policies for regulatory changes. Previously provided certifications to mutual fund, UCITS, QAIAFs & global clients, composed ERISA reporting, client guideline trade clearance and coding. Currently assist with DDQs, insurance coverage and RFP support to client services, global clients, consultants or foreign fund management companies/trustees, parent company/affiliates. Fulfilled document requests for SEC examination (2017-18), liaised for Principal Global Investors\' internal audit (2019), external auditors SOC 1 pre-assessment (2021) and SOC1 reporting (2023). Previously investigated inquiries on investment guidelines for trading desk, portfolio managers, clients, private fund investors. Vetting of broker-dealer/counterparty approval and ongoing eligibility, month-end price back-testing, and other reviews. Conduct AML employee training.Prior to 2019, I investigated and closed pre-trade guideline compliance and portfolio \"batch\"/overnight compliance alerts, reviewed data integrity for newly built securities in Charles River OMS, approved cross trade transactions documentation and other aspects of trade guideline compliance.

Education

• Cal State Fullerton, College of Business and Economics

  Master of Business Administration (M.B.A.), Finance

  1986 — 1988

• California State University, Fullerton

  Bachelor’s Degree, Finance emphasis

Skills

• Securities
• Investment Management
• Mutual Funds
• Hedge Funds
• Investments
• Fixed Income
• Equities
• Alternative Investments
• Investment Guideline Compliance
• Financial Services
• Capital Markets
• Sec
• Investment Advisor Compliance
• Policy
• Derivatives
• Finra
• Erisa
• Asset Management
• Gips Compliance
• Series 7
• Fund of Funds
• Investment Advisory
• Compliance
• Private Equity
• Edgar Filings
• Etfs
• Securities Regulation
• Asset Allocation
• Management
• Portfolio Management
• Trading
• Series 63
• Policy & Procedures Implementation
• Regulatory Requirements
• Investment Companies
• Closed-End Funds
• Program Development
• Charles River Ims
• Research Commissions Analysis
• Political Contributions Monitoring