Rob Cillis
Director, Compliance Officer at Tiaa
Based in Westchester County, United States
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Seniority
Director
Department
General Business & Management
Location
Westchester County
Industry
Financial Services
Company size
13K
Contact information
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r•••••••@tiaa.org
Phone
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Background
About Rob Cillis
31 years in the Financial Industry. 25 years in Asset Management and 6 years in Asset Management Compliance. Asset Management experience: Managed mergers and acquisitions, financial reporting, corporate governance, and regulatory reporting. managed a fund of funds worked in securities lending as a lender. Compliance experience: Responsible for all asset types inlcuding fixed income, equities, derivatives, real estate and alternative assets. Proficient in 40 act rules Developing policies and procedures Implementing controls to mitigate risk Conduct compliance reviews and compliance testing Member of Best Execution Committee for Equities and Fixed Income Member of New Markets Assessment Committee Member of Real Estate Allocation Review Committee Member of Fair Valuation Committee Responsible for Material, Nonpublic Information and maintaining the information barrier Provides training for new policies such as the use of Expert Networks and on going training for existing policices such as gifts and entertainment. Specialties: ICA 40 act rules IAA rules Operations Trading strategies MNPI
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