Ken Kalina
Fund CCO/Director at Foreside Financial Group, LLC
- Role
- Fund CCO Director at Aca Foreside
- Location
- Chicago, IL, US
- LinkedIn followers
- 500 followers
About Ken Kalina
I am a disciplined, pragmatic financial and compliance professional with a talent for generating strong business results. I can provide three primary benefits to organizations. I have (1) a proven ability to effectively lead in team environments (excellent management skills),(2) I possess extremely strong relationship management skills (especially with high profile individuals relating to sensitive matters), and (3) I am an effective communicator with great presentation skills in various settings.My financial services background (in the compliance, financial and operational areas) makes me a strong candidate for high level positions in the compliance and/or finance functions. I feel my energy, high degree of moral character and management skills could provide any organization a highly valuable asset.My broad experience in the U.S. mutual fund space makes me an excellent candidate for a board position with either a fund complex or a corporate board.
Experience
Fund CCO Director
Jul 2017 — Present · Chicago, IL, US
Serve as CCO for registered investment company clients, including open-end mutual funds and exchange traded funds, pursuant to Rule 38a-1 under the Investment Company Act of 1940. Have also provided compliance consulting services to large institutions relating to exchange traded funds and mutual funds. Specific responsibilities include:• Assess and monitor the operation of compliance policies and procedures maintained by fund clients and their service providers (investment adviser and sub-adviser(s), administrator, fund accountant, transfer agent, principal underwriter and custodian).• Create detailed risk assessments applicable to various clients and their respective service providers regarding compliance with federal securities laws as defined in Rule 38a-1. • Conduct on-site due diligence on investment advisers and sub-advisers to evaluate critical processes performed on behalf of fund clients, including compliance with investment limitations, best execution, trade allocation, code of ethics, proxy voting and business continuity, etc. • Systematically review and analyze a multitude of compliance reports and data prepared by service providers with respect to a fund, including reviews of daily, weekly, and monthly testing, exception reports, certifications, management reports, and external reports prepared by third parties on operation of service provider controls. Conduct on-site due diligence visits to service providers to evaluate critical processes conducted on behalf of clients. • Provide thorough, concise and detailed oral and written quarterly and annual reports to fund Boards regarding assessment of compliance policies and procedures, any compliance matters identified during the applicable period, whether any enhancements should be considered.
Education
University of Notre Dame
MBA, Accounting/Finance
1981 — 1983
Wabash College
BA, Economics
1977 — 1981
Skills
- Portfolio Management
- Securities
- Financial Services
- Mutual Funds
- Asset Allocation
- Finance
- Alternative Investments
- Private Equity
- Due Diligence
- Hedge Funds
- Equities
- Fixed Income
- Investments
- Asset Management
- Investment Management
- Regulatory Compliance
- Capital Markets
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