Ellen Douglas

About

As an experienced Senior Compliance Analyst, I have reduced company risk while ensuring compliance with regulatory requirements. I believe that compliance starts with promoting a culture where employees have respect for, and feel empowered to make informed decisions. ADAPTABILITY Over the years, I have had the pleasure of working across many different industries in various compliance positions. I've transitioned into e-commerce compliance after a number of years in investments and operational compliance both at Loomis Sayles and Mercer. The experience I have gained in these different industries has allowed me to see compliance challenges from different lenses, and the experience I have gained can be transferred to many different roles.

Experience

• Senior Compliance Analyst · Newfold Digital09-01-2018 – 08-01-2023

  Embed compliance and ethics within everyday business decisions and actions. Provide trusted guidance, advice, thought leadership, and compliance risk identification and management. Ensure customers and prospects are given a fair and transparent buying experience by adhering to regulatory requirements and guidelines, which will create stronger customer relationships and increase overall customer satisfaction. Empowered employees to learn and think about consumer protection compliance by developing a database of information for, and presenting training to, the various marketing teams. Decreased consumer protection risk by reviewing and collaborating on new and recurring marketing initiatives. Increased compliance with standards by opening channels of communication with marketing and other cross-functional teams and established a position as a trusted resource.

• Legal Analyst · Loomis, Sayles & Company10-01-2015 – 08-01-2018

  Review of firm materials to ensure compliance with firm policy, legal and industry regulations. Offer guidance to marketing groups and investment teams for new product material development; assess risks and concerns and communicate them as appropriate. Collaborate with marketing groups on the development and refinement of policies and procedures. Evaluate materials from the perspective of both specific product and vehicle concerns and broader firm policies and issues. Improved the legal review process by advocating for our team throughout a large company project and worked with the IT department closely to update the internal system used for reviews. Enhanced the onboarding process for new employees by training them on the legal review process and department. Decreased regulatory risk by reviewing and collaborating on new and recurring marketing assets in accordance with SEC, FINRA, GIPS and internal requirements.

• Compliance Analyst, Operations · Mercer05-01-2014 – 10-01-2015

  Ensure compliance with Mercer's Third Party Provider Due Diligence and Trade Sanctions programs. Assist with the development of training and communications for employees on various compliance topics and issues. Review assets for Mercer's Benefits Administration line of business. Decreased third party risk by facilitating the process for the Third-Party Provider program, renewed contracts, obtained due diligence documents, and worked internally with the business. Increased consumer protection by reviewing communication and sales and marketing pieces for the Benefits Administration and Investments businesses.

• Compliance Analyst, Investments · Mercer09-01-2013 – 04-01-2014

  Analyzed and assisted with operational, regulatory compliance, and risk management for Mercer's fiduciary investment advisory business in the Americas (U.S. and Canada). Reduced investment management risk by monitoring, tracking and communicating with Mercers external fiduciary managers, and oversaw the quarterly questionnaire process. Attended onsite due diligence visits with the Chief Compliance Officer with some external managers.

• Participant Services Representative · Mercer02-01-2012 – 08-01-2013

  Trained in the Defined Contribution (401k) and Defined Benefit (pension) lines of business. Trained in trades of Defined Contribution investments, performed on a day-to-day basis. Assisted participants with making the necessary steps they could to prepare for, and begin, the retirement process. In-depth knowledge on retirement plans as well as retirement plan investments such as company stock, mutual funds, bond funds, global/international funds, large-cap, mid-cap, and small-cap funds. Ensured that participants were being educated on the questions that they were asking as well as the plans themselves in a seamless and positive manner. Assisted in training new employees starting in the DC and DB lines of business. Assisted with floor-walking, call monitoring, peer coaching, and acting as an available and trustworthy resource. Assisted my team and manager with monitoring of daily activities and callouts that needed to be made, provided daily reports to the team, and advocated as an available resource for my team members when needed.

Education

• Lesley UniversityBachelor of Arts (B.A.), American History & Middle School Education
• North Quincy High SchoolHigh School Diploma

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