Cody Dean

Owner, Cody R Dean LLC - Financial Services Technology Strategy & Implementation Consulting
Summary
Cody Dean is a seasoned professional specializing in guiding wealth and asset management firms through strategic transformations of their portfolio management, trading, compliance, and technology systems to optimize their enterprise technology expenditures.
With a wealth of experience, Cody has served in various key roles at renowned organizations. Notably, as the Product Delivery Lead at EY, he oversaw the implementation of the Charles River Investment Management System for a leading US wealth management network with $1.6 trillion in assets under management.
During his tenure at Wellington Management, Cody worked as an Investment Compliance Officer, focusing on ensuring regulatory compliance for a diverse range of asset classes, including equity, fixed income, derivatives, and alternatives. He played a pivotal role in launching new investment funds and advising portfolio management teams on compliance matters.
At Charles River Development, Cody was instrumental in implementing the CRIMS compliance module for Wells Fargo's Wealth and Investment Management arm, making it the largest engagement for the firm. This project spanned across various divisions under Wells Fargo, including Wealth and Abbot Downing for ultra-high net worth clients.
Cody began his career at Barclays Capital as a Compliance Analyst, where he provided regulatory advisory services for futures and swaps. His responsibilities included managing regulatory inquiries for the Futures Commission Merchant (FCM) and handling the firm's relationships with regulatory bodies such as the CFTC and global futures exchanges, with a focus on regulatory changes like EMIR/MiFID II.
Outside his professional endeavors, Cody Dean holds a Bachelor's degree in Government from Harvard University, focusing on structural inequalities in American democracy. He engaged extensively in supporting political campaigns and causes for the LGBTQ community. Moreover, he possesses working proficiency in Spanish and has significant international experience in Latin America and the Middle East.