Compliance Professional Services and Relationship Management
Portia is a seasoned Compliance Officer, having over 18 years of investment management experience. Over the course of her career, Portia has specialized in compliance, operations and client services for investment advisors and top tier investment banks. Portia also successfully helped to launched two wrap-fee programs for New York Life Investment Management and US Trust.
As a Compliance Officer at Epoch Investment Management, LLC, Portia did extensive work involving Personal Trade Auditing, SEC Exam preparation work, FED Audit, Volcker Rule Conformance, AML, Vendor Due Diligence, various Regulatory filings such as Form PF, Form D, 13H Large Trader, Form ADV, international regulatory filings, Compliance Procedures and Manuals, Employee Compliance Training, as well as many other aspects of Legal and Compliance.
At DRA Advisors, LLC, Portia was hired as the firm’s first Compliance Officer to implement a firm-wide compliance program and to address the SEC’s focus of real estate investment firms. Additionally, Portia instituted a multitude of compliance policies and procedures, completed all required regulatory filings, worked with outside counsel to complete a prior SEC audit, established marketing and website review procedures, liased with IT to create and launch a cybersecurity policy and conducted compliance training for all employees including targeted training.
Portia is enrolled at Western International University, attended Saint Peter’s University, has a Diploma from Dover Business College in Computer Information Specialist and is scheduled to take her Series 65. Portia’s volunteer work includes Commissioner of American Youth Soccer Organization (AYSO) Region 1089 and coaches’ boys and girls ages 4-10. She is also a 4th Grade Catechist at Saint John’s Parish in her hometown and cooks for a local soup kitchen.