Lyn Walker

About Lyn Walker

Motivated and reliable Senior Compliance professional with 10+ years of progressive Risk…

Experience

1. Compliance Consultant

   Neuberger

   Feb 2022 — Present

   Work regularly with the Managing Director, Head of Investment Guideline Oversight and Senior Vice President of Risk and Compliance, Environmental, Social Governance (ESG), Equity, Fixed Income and Commodities, Central Compliance, and legal in developing and implementing compliance policies and procedures, guidelines and internal audits for high net worth $5MM+ registered investments, with specific emphasis on Risk, ESG and the Investment Advisers Act of 1940 rules and regulations. Reviews, analyze and respond to all regulatory inquiries,RFI’s including relating to the SEC and NFA/CFTC. Manage strategic projects, including development of risk and compliance controls, large data sets and surveillance reports, coding strategies for sanction securities and issuers in Aladdin & Charles River Prohibited Holdings accounts, coding Firm-wide restrictions for securities and issuers, Batch, Compliance Intraday Alerts, Compliance Test Setups, ACAT restrictions, Rule105 securities, New COD restrictions, No Client Directed Trades, Illiquid Securities, 90 Day Restrictions, 407 Letters and coding in Charles River with GUI uploads, Leverage ETF’s, IA terminations Letters and CREST broker exposures. Define and develop 1st line and 2nd line of defense for trade strategies with risk control, risk assurance, risk parameters, policy tools, techniques and templates, and reviewing all final ratings, for risk, compliance and credit risk reports and T/0 trade execution. Conduct audits for risk and compliance policies and procedures and governance pursuant to the research of rules and regulations Investment Advisers Act of 1940 then prepare written documentation and risk assessments of results for submission to regulators and the CCO.

Education

• University of New Orleans

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

• Dillard University

  Bachelor of Arts (BA)

Skills

• Project Management
• Petroleum
• Sap
• Contract Management
• Project Planning
• Trading
• Contract Negotiation
• Management
• Business Development
• Operations Management
• Strategic Planning
• Negotiation
• Budgets
• Risk Assessment
• Natural Gas
• Team Leadership
• Business Planning
• Project Coordination
• Risk Management
• Energy
• Commodity Markets
• Commodity
• Oil & Gas
• Investment Banking
• Financial Analysis
• Financial Reporting
• Forecasting
• Corporate Finance
• Finance
• Internal Audit
• Trade Marketing
• Trade Compliance
• Trade Shows