Lori Smith

Background

About Lori Smith

Strategic and results-driven investment operations professional with extensive management and leadership experience across asset management, proxy governance, and financial operations. Proven ability to lead high-performing teams, optimize operational workflows, and execute complex investment processes with precision and regulatory integrity. As a Proxy Voting Manager, I oversee end-to-end governance for global equity portfolios, leveraging platforms like ISS Proxy Exchange and Glass Lewis to ensure timely, compliant voting execution and transparency. I serve as a trusted liaison across trading, compliance, and executive leadership, supporting key initiatives that drive both operational efficiency and stakeholder confidence. My leadership spans project management, system integration, SEC compliance, and trade lifecycle oversight, with a consistent track record of streamlining processes, implementing technology solutions, and training teams to elevate performance standards. I’m passionate about driving cross-functional collaboration, promoting compliance best practices, and supporting enterprise-level strategies that enhance risk management, client service, and operational excellence. Core Strengths: Investment Operations Management Proxy Voting Governance & Strategy Regulatory Compliance (SEC, Code of Ethics) Trade Support & Lifecycle Oversight Team Leadership & Mentorship Cross-Functional Project Execution Project Management. System Implementations (BNY Eagle, CRIMS, and Electra),