Michael A. Cozzi

About Michael A. Cozzi

ETF AND MUTUAL FUND COMPLIANCE AND OPERATIONSI am a seasoned and accomplished Registered Fund Operations and Compliance Professional, with over 28 years of developing, standardizing, and continuously improving internal controls, processes, and procedures that enhance fund operations and compliance, which ultimately benefits the underlying mutual fund investors.My background includes extensive experience working with subadvised exchange traded funds, mutual funds, and CITs, focusing on various compliance-related matters, as well as overall subadvisory relationships. Also, I have several years\' experience of vendor oversight, in the areas of legal/compliance, transfer agency, fund administration and fund accounting. Further, I have considerable knowledge of intermediary relationships, in terms of administrative agreements, trading agreements, and in the calculation and accurate payment of intermdiary invoices.I have excelled at aspects of daily fund compliance and governance including: CIP verification of new client relationships, monitoring daily shareholder transactions for potential suspicious activity, ensuring accuracy in custody account reconciliation, reviewing of daily fund valuations, audit of third-party invoices, and validating fund distributions. I continously maintain knowledge of both internal and external compliance updates/changes, government regulations, industry best practices, and cross-departmental processes to minimize risk exposure. I am a truly dedicated professional who thrives in fast-paced environments where innovation and practicality are equally valued.MY AREAS of Expertise include:* Subadvisory Relationships* Multi-Manager, Sub-advised Mutual Funds * Operational Excellence * Board Reporting, with particular focus on compliance-related matters.* Vendor Oversight* Intermediary Relationships* Regulatory (SEC) Filings, including: Forms N-PORT, N-MFP, N-CEN, and 13F* Rule 22c-2 Compliance (Market Timing)* Anti-Money Laundering Programs* Portfolio Compliance* Various Mutual Fund Audits, including: AML, Fund Accounting and Transfer Agency* Transaction Review* Project Management

Experience

1. Compliance Manager

   Harbor Capital Advisors, Inc.

   Feb 2025 — Present · Chicago, IL, US

Education

• W. P. Carey School of Business – Arizona State University

  Bachelor of Science, Finance

Skills

• Finra
• Transfer Agency
• Due Diligence
• Fund Operations
• Trade Operations
• Asset Management
• Fund of Funds
• Project Management
• Mutual Funds
• Sec Regulations
• Nscc Operations
• Compliance
• Money Market Funds
• Data Mining
• Fund Administration
• Bluesky Reporting
• U.s. Sec Filings
• Financial Services
• Sales Support
• Escheatment
• Bloomberg Terminal
• Series 7
• Auditing
• Performance Reporting
• Global Custody
• Zephyr Style Advisor
• Mutual Fund Distributions
• Institutional Client Service
• Mutual Fund Board Reporting
• Series 63
• Morningstar Direct