Philip Stack
Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Company
- Role
- Chief Compliance Officer - Mutual Funds at Guardian Life Insurance Co Of America
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Philip Stack
Senior Audit and Investment Compliance Executive with more than 25 years of achievement promoting uninterrupted operations for financial services leaders through leadership in the development, monitoring, auditing and enhancement of compliance programs that ensure fulfillment of an organization’s fiduciary duties. Well versed in the nuances and practices of Public Accounting Firms, Multinational Insurance Companies and Investment Advisory Firms including John Hancock Life Insurance Company, Ernst & Young, Old Mutual US Holdings and Gannett Welsh & Kotlerand Morgan Stanley.Well versed in 1940 Investment Company Act, 1940 Investment Advisors Act, 1934 Exchange Act and ERISA.Knowledgeable in Performance, Marketing, AML, Portfolio Management, Trading and Code of Ethics. Adept in establishing investment compliance policies and procedures that proactively prevent violations of securities law.CORE COMPETENCIESAudits • Budgeting • Expense Control • Financial Analysis • Internal Controls • Reporting • Regulatory Investment Compliance • Change Management • Strategic Planning • Team Leadership • Recruiting • Vendor Relations • Policy Development • Training & Development • Negotiations
Experience
Chief Compliance Officer - Mutual Funds
Guardian Life Insurance Co Of America
Jul 2017 — Present · New York, NY, US
Education
Northeastern University
BSBA, Accounting
1992 — 1997
Suffolk University - Sawyer Business School
MBA, Business & Finance
1999 — 2003
Skills
- Aml
- Financial Services
- Alternative Investments
- Process Improvement
- Equities
- Due Diligence
- Hedge Funds
- Internal Audit
- Anti Money Laundering
- Auditing
- Compliance
- Financial Modeling
- Operational Risk
- Investments
- Finance
- Derivatives
- Financial Analysis
- Internal Controls
- Enterprise Risk Management
- Portfolio Management
- Capital Markets
- Trading
- Securities
- Fixed Income
- Asset Allocation
- Mutual Funds
- Risk Management
- Valuation
- Investment Management
- Financial Risk
- Asset Management
- Asset Managment
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