As a senior operations and compliance manager, Fran is responsible for middle- and back-office functions as well as managing day-to-day cash and reconciliation reports, trade settlement, cash management, and various reporting for CCM’s mutual funds and separate accounts. She also supports the firm’s trade processes, data management, and portfolio operations and is responsible for overseeing firm- and mutual fund-related compliance, as well as regulatory reporting developments, requirements, and best practices.
Biography
Fran joined CCM in 2023 from Citi where she was vice president of business risk and controls. In this role, she assessed and identified emerging risks for business units (wealth management, private banking, and operations) and implemented and resolved control gaps by creating corrective action plans inclusive of root cause analysis. Prior to joining Citi, she held various positions throughout her career at RBC, NOMURA, Lehman, Merril Lynch, and other financial investment banks and firms. Fran received her B.A in business/political science from Pace University.