<ul><li>Completed a master's degree in the field of Slavic linguistics as part of a PhD program.</li></ul>

<ul><li>Graduated Magna Cum Laude</li><li>Was a member of Phi Beta Kappa</li><li>Louis Dembitz Brandeis Scholar</li></ul>

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

Branch Examiner

<ul><li>Wrote on various topics of finance and political economy.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</li><li class="ql-align-justify">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.</li></ul>

Writer

John Hancock is a Boston-based insurance company, which was acquired by the Canadian life insurance company Manulife Financial in 2004.<ul><li>Owned due diligence of all investment advisory turnkey platforms encompassing a broad range of fixed income and equity products.</li><li>Ensured fee and performance consistency by conducting quarterly reviews of advisory accounts.</li><li>Executed annual due diligence visits to turnkey asset management platforms used by Signator financial advisors.</li><li>Facilitated establishment of an actionable record of Signator's platform interactions.</li><li>Drove system improvements by identifying issues of concern in the investment management process, compliance and data security policies, operational efficiencies, and business processes.</li><li>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.</li><li>Systematically reviewed and documented investment manager performance (mutual funds, UMAs, and separate accounts).</li><li>Supported decision making and information sharing by providing robust documentation of advisory and investment manager reviews.</li><li class="ql-align-justify">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.</li></ul>

Senior Compliance Consultant

New England Financial provides insurance and financial services with offices in Massachusetts and Connecticut.<ul><li>Managed all aspects of compliance for a general agency, comprising 80 producers (representatives and financial advisors).</li><li>Reviewed best practices with detached locations and conducted onsite reviews of process and procedural adherence.</li><li>Administered all individual representative and advisor compliance reviews.</li><li>Consolidated and enhanced compliance processes and supervisory functions.</li><li>Bolstered business compliance effectiveness and protected the company from regulatory risks.</li><li>Improved compliance and comprehension by enhancing and simplifying compliance best practices for agency representatives via monitoring, research, and interpretation of applicable regulations and statutes.</li><li class="ql-align-justify">Consistently achieved successful results on annual internal audits. Passed a regulatory audit with no exceptions.</li></ul>

Compliance Director

LAMCO is a privately held, registered investment advisory firm.<ul><li>Managed the manager research effort with over $1 billion in assets under management.</li><li>Consolidated and automated the manager research function across all client accounts.</li><li>Sustained a strong-performing selection of fixed income and equity managers by executing successful manager searches and replacements.</li><li>Increased transparency and supported strong financial controllership by improving financial reporting processes.</li><li class="ql-align-justify">Monitored data quality and value by deepening analysis in third-party manager research reports.</li></ul>

Director of Investment Manager Research

State Street Global Advisors (SSGA) is the investment management division of State Street Corporation, an American financial services and bank holding company.<ul><li>Delivered in-depth retirement plan counseling to 401(k) plan participants and retirees.</li><li class="ql-align-justify">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.</li></ul>

Financial Advisor

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.<ul><li>Designed, sold, and implemented all manner of ERISA qualified plans for ABA member law firms.</li><li class="ql-align-justify">Closed business above quota.</li></ul>

Retirement Plan Consultant

Wrote a brief examination of future's commission merchant Peregrine Financial Group's fraud and how regulators discovered it.

How PFG Pulled Off 2 Decades of Fraud

Marc Ross

Developed an early overview of the act and its implications for finance.

Dodd-Frank's Consequences

Created a series of lectures on the centenary of the central bank that offers a historical perspective on its working and considers what it could have done better during the Great Recession.

The Federal Reserve and the Financial Crisis (A Review)

Crafted content that compares and contrasts features of passive investment types and is geared toward the individual investor.

Index Mutual Funds Versus Index ETFs

Considered the way that investors can gain exposure to a type of alternative asset class. As such, it is applicable to wealthier investors whose income and net worth could withstand a longer investment time horizon and the unique risk features that accompany this asset class.

How to Invest in Movies

Discussed select economic activities and occurrences that take place in alternative channels.

Some Thoughts on the Shadow Market

Provided a basic look at the different currency regimes around the world and their role in the global capital market infrastructure.

A Primer on Currency Regimes

Created a review that considers a primer on a how-to for individual investors from a South African perspective, though the lessons are applicable globally.

The Effective Investor: The Definitive Guide for All South Africans (A Review)

Crafted an essay offering a plain-language discussion of what shareholder activism is and how it works.

An Introduction to Shareholder Activism

Wrote about global macro investing as told by a seasoned practitioner of a well-known hedge fund strategy.

How to Make Money with Global Macro (A Review)

Discussed characteristics of foreign government credits from a risk/return perspective geared toward the individual investor.

The Basics of Investing in Foreign Government Bonds

Developed an analysis on liquid alternative investments from a due diligence perspective.

The Rise of the Hedged Mutual Fund

Created an essay about the infamous London Whale trade, a risk-management snafu whose consequences CEO Jamie Dimon initially played down.

JP Morgan: The Other Side of the Hedge

Wrote on a fiduciary examination of socially responsible investment considerations.

The Value in Socially Responsible Investing

Reviewed a highly readable overview of frontier markets, what constitutes them and how investors can achieve exposure.

Frontier Investor (A Review)

Provided a succinct overview of the LIBOR rate-fixing scandal and its consequences.

The LIBOR Scandal

Junk Bonds All Over Again

CFA Institute Code of Ethics and Standards of Professional Conduct As Told Through the Lens of J.C. Chandor’s Margin Call

Exchange-Traded Products: If You Don't Get Them, Don't Get Them

Investing in Sovereign Bonds

English (American)

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.

Marc Ross

Employment Highlights

Education Highlights

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