Michael Dziura — Chief Compliance Officer · Westfuller

Michael Dziura — Chief Compliance Officer · Westfuller · Bala-Cynwyd, Pennsylvania, United States.

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About

Michael Dziura is Chief Compliance Officer and Principal at Dziura Compliance Consulting. He provides outsourced compliance support to investment advisers and funds, including policy reviews, regulatory assessments, board reporting and training. His work covers compliance programs for mutual funds and ETFs and coordination with auditors, regulators and legal advisers.

Experience

Chief Compliance Officer / PrincipalCurrent
Dziura Compliance Consulting, LLC · Bala-Cynwyd, Pennsylvania, United States
Jul 2017 – Present
Serves as CCO to one mutual fund series trust and Deputy CCO to two mutual fund series trusts containing over 60 advisors and sub-advisors and over 90 mutual funds and ETFs with a total of over $45 billion AUM performing duties such as: • Conducts annual reviews of registered investment advisers and registered funds through onsite and virtual interviews. • Examines and reviews policies and procedures, codes of ethics, annual Rule 206(4)-7 reports, soft dollar policies, business continuity plans, cybersecurity policies, risk assessments, conflicts of interest analysis, best execution reports, LRMPs, DRMPs, etc. • Prepares quarterly and annual reports to trust boards regarding advisor and fund compliance matters, changes to existing policies, and relevant regulatory/industry issues. • Conducts annual assessments of Trust service provider compliance programs and develops findings and recommendations reports based on interviews, compliance document reviews, program reviews, and testing. • Facilitates webinars, electronic communications, and virtual compliance trainings related to industry hot topics (i.e., Liquidity Risk Management Rule, Valuation Rule, Derivatives Risk Management Rule, etc.). Provides outsourced compliance solutions to a number of investment advisors, registered funds, hedge funds, and private equity funds performing such duties as: • Serves as Chief Compliance Officer • Develops, reviews, and monitors compliance manuals and policies and procedures. • Identifies compliance issues and develops findings and recommendations reports based on interviews, compliance document reviews, program reviews, and testing to remediate and track incidents, exceptions, and regulatory deficiencies. • Provides regulatory exam support and conducts mock regulatory examinations. • Conducts all testing necessary for client annual Rule 206(4)-7 reports and prepares such reports. • Facilitates annual and on-going compliance trainings.