Work With High Performing Talent On Demand

contact@hiredigital.com | 1 (617) 528-0943

Work With High Performing Talent On Demand

Work With Talent
Marc Ross

Investment Management Writer

Marc Ross

Contributor to Investopedia & CFA Institute’s blog.

An accomplished investment professional and data-driven research analyst, Marc Ross has over twenty years of experience that encompasses financial advice, investment research, due diligence, and compliance. He has written on a broad range of topics in finance, political economy, investment management, capital markets, and specific products and strategies. Specializing in investment and financial services, Marc has written for Investopedia, reviewed titles for the Financial Analysts Journal, contributed content to CFA Institute’s Enterprising Investor blog and abstracted journal articles for CFA Digest.

Investment Management Content
Financial Writing
Finance Content
Corporate Finance Content
Capital Markets Content
Political Economy Content
Investment Strategy
Financial Advisory
Business Development
Marc Ross

Marc Ross

Contributor to Investopedia & CFA Institute’s blog.

Investment Management Writer

Marc is Available for Projects

Work with Marc

Employment Highlights

Branch Examiner

LPL Financial

March 2019 - Present (3 years 5 months)

Writer

Independent

November 2017 - March 2019 (1 year 5 months)

Senior Compliance Consultant

John Hancock (Manulife)

June 2013 - November 2017 (4 years 6 months)

Compliance Director

New England Financial (Metlife)

June 2007 - June 2013 (6 years 1 month)

Education Highlights

Master of Arts, Slavic Linguistic

Yale University

August 1982 - May 1986 (3 years 10 months)

Bachelor of Arts, Russian

Brandeis University

August 1978 - May 1982 (3 years 10 months)

Portfolio

How PFG Pulled Off 2 Decades of Fraud

Dodd-Frank's Consequences

The Federal Reserve and the Financial Crisis (A Review)

Index Mutual Funds Versus Index ETFs

How to Invest in Movies

Some Thoughts on the Shadow Market

How PFG Pulled Off 2 Decades of Fraud

Dodd-Frank's Consequences

The Federal Reserve and the Financial Crisis (A Review)

Index Mutual Funds Versus Index ETFs

How to Invest in Movies

Some Thoughts on the Shadow Market

Resume

Branch Examiner

LPL Financial

March 2019 - Present (3 years 5 months)

  • Reviewed the procedures and activities of the financial institution and ensured compliance with all government regulations.
  • Prepared and distributed notification for individual audits.
  • Performed audits to ensure proper supervision and compliance and special audits and investigations as required.

Writer

Independent

November 2017 - March 2019 (1 year 5 months)

  • Wrote on various topics of finance and political economy.                                               
  • Created content for Investopedia, reviewed titles for the Financial Analysts Journal, contributed content to CFA Institute’s Enterprising Investor blog, and abstracted refereed journal articles for CFA Digest and various content for getAbstract.

Senior Compliance Consultant

John Hancock (Manulife)

June 2013 - November 2017 (4 years 6 months)

John Hancock is a Boston-based insurance company, which was acquired by the Canadian life insurance company Manulife Financial in 2004.

  • Owned due diligence of all investment advisory turnkey platforms encompassing a broad range of fixed income and equity products.
  • Ensured fee and performance consistency by conducting quarterly reviews of advisory accounts.
  • Executed annual due diligence visits to turnkey asset management platforms used by Signator financial advisors.
  • Facilitated establishment of an actionable record of Signator's platform interactions.
  • Drove system improvements by identifying issues of concern in the investment management process, compliance and data security policies, operational efficiencies, and business processes.
  • Expanded and formalized the previously informal, paper-based annual review process of financial planning software. Identified degree of user-friendliness and (in)ability of software to produce actionable advice in a client-accessible manner.
  • Systematically reviewed and documented investment manager performance (mutual funds, UMAs, and separate accounts).
  • Supported decision making and information sharing by providing robust documentation of advisory and investment manager reviews.
  • Transformed the due diligence process from a paper environment into a readily accessible computer format, and subsequently, an important historical record to be leveraged for audit and compliance.

Compliance Director

New England Financial (Metlife)

June 2007 - June 2013 (6 years 1 month)

New England Financial provides insurance and financial services with offices in Massachusetts and Connecticut.

  • Managed all aspects of compliance for a general agency, comprising 80 producers (representatives and financial advisors).
  • Reviewed best practices with detached locations and conducted onsite reviews of process and procedural adherence.
  • Administered all individual representative and advisor compliance reviews.
  • Consolidated and enhanced compliance processes and supervisory functions.
  • Bolstered business compliance effectiveness and protected the company from regulatory risks.
  • Improved compliance and comprehension by enhancing and simplifying compliance best practices for agency representatives via monitoring, research, and interpretation of applicable regulations and statutes.
  • Consistently achieved successful results on annual internal audits. Passed a regulatory audit with no exceptions.

Director of Investment Manager Research

LAMCO

January 2005 - January 2007 (2 years 1 month)

LAMCO is a privately held, registered investment advisory firm.

  • Managed the manager research effort with over $1 billion in assets under management.
  • Consolidated and automated the manager research function across all client accounts.
  • Sustained a strong-performing selection of fixed income and equity managers by executing successful manager searches and replacements.
  • Increased transparency and supported strong financial controllership by improving financial reporting processes.
  • Monitored data quality and value by deepening analysis in third-party manager research reports.

Financial Advisor

SSGA/CitiStreet

January 1999 - August 2004 (5 years 8 months)

State Street Global Advisors (SSGA) is the investment management division of State Street Corporation, an American financial services and bank holding company.

  • Delivered in-depth retirement plan counseling to 401(k) plan participants and retirees.
  • Drove significant development of the advisory platform and increased revenue to the business unit by utilizing data gathering and Monte Carlo simulation (using Financial Engines) as integral parts of the advisory process.

Retirement Plan Consultant

State Street Bank

August 1991 - January 1999 (7 years 6 months)

State Street Bank is a subsidiary of the State Street Corporation, specializing in services to mutual funds and their advisers, collective investment funds, corporate and public pension funds, insurance companies, operating companies, and non-profit organizations.

  • Designed, sold, and implemented all manner of ERISA qualified plans for ABA member law firms.
  • Closed business above quota.

Education

Master of Arts, Slavic Linguistic

Yale University

August 1982 - May 1986 (3 years 10 months)

  • Completed a master's degree in the field of Slavic linguistics as part of a PhD program.

Bachelor of Arts, Russian

Brandeis University

August 1978 - May 1982 (3 years 10 months)

  • Graduated Magna Cum Laude
  • Was a member of Phi Beta Kappa
  • Louis Dembitz Brandeis Scholar