J. Nicole Smith


j-nicole-smith

Compliance Officer/Relationship Manager Managed Account Group

Nicole is our Compliance Officer and the Relationship Manager to our Managed Account Group. Prior to joining Monte Financial Group, Nicole worked at BNY Mellon for four years as Relationship Manager. Her primary roles focused on identifying and mitigating operational risk and developing a robust operational control framework between BNY Mellon and one of their top tier clients, Bridgewater Associates of Westport, CT, a leading global hedge fund. She managed numerous client driven initiatives analyzing key performance indicators and metrics.

Prior to working with BNY Mellon, Nicole worked for six years with Bridgewater Associates in Westport, CT, as their main relationship contact to their largest trading counterparties. Some of her responsibilities included evaluating and maintaining trading relationships, development of annual review process, counterparty surveys, scorecards and due diligence presentations. Her role also included identifying weaknesses and risks with respect to internal process and procedures.

At Monte Financial Group, Nicole leads our Managed Account Group. Her experience fits perfectly with the due diligence effort we undertake when utilizing third party managers to further diversify clients assets and complement our in house investment management capabilities.

In addition, Nicole is our Compliance Officer.  Her experience in process and controls will oversee and manage regulatory matters at Monte Financial Group.  Her responsibilities will be to design and implement internal controls, policy and procedures to assure compliance to state and federal law.