Thomas Phan

1940 Investment Advisors Act Compliance, CRD Charles River Compliance - Fixed Income and Equity Pre trade monitoring, rule coding and QA Testing, Compliance Board Reporting, Risk Management Surveillance

Thomas Phan is a highly experienced Mutual Fund compliance and risk management professional based in Boston. With a strong background in data science-driven Forensic Testing and portfolio compliance rule coding using Charles River Development (CRD), Thomas excels in User Acceptance Testing, Implementation, Pre and post-trade portfolio compliance monitoring, compliance sub-adviser oversight, and direct client liaison. He is known for his collaborative, understanding approach in building consensus among internal stakeholders and external clients. Thomas's core strengths lie in Charles River (CRD) coding, testing, and monitoring, along with a practical understanding of Investment Company Act of 1940, 206(4)-7, and Form ADV Compliance Board Reporting. His expertise extends to Portfolio compliance client guideline rule auditing across all classes of Fixed Income and Equity, compliance oversight of 40 act and institutional clients, leadership, mentoring, and a Risk Management-centric approach to Compliance.