1. BRIAN PHILLIP SMITH
780 S. Federal Street,
Chicago, Illinois 60605
BrianPhillipSmith@yahoo.com Phone: (630) 442-3484
PROFILE
• Highly organized and efficient results-oriented employee with demonstrated success in managing
high priority, deadline-oriented projects
• Possesses excellent critical thinking, analytical, and problem solving skills
• Strong team player – proficient in building and maintaining effective working relationships with
cross-functional, internal and external parties to maximize quality performance and skill development
• Exceptional business writing, presentation and communication skills
PROFESSIONAL EXPERIENCE
NUVEEN INVESTMENTS, Nuveen Asset Management, LLC 06/14 - Present
AVP, Compliance Manager
• Provide expertise on U.S. securities laws, including the Investment Advisers Act of 1940 and
Investment Company Act of 1940.
• Conduct and design compliance monitoring and testing of business processes and controls and validate
that they are functioning as intended. Identify actions requiring remediation and contribute to the
design and execution of any resulting remediation plans.
• Successfully designed and implemented firm trade blotter reviews by working with IT to create reports
to be used for compliance monitoring and testing.
• Assist the CCO with the completion of the 38a-1 and 206(4)-7 Annual Reviews of compliance policies
and compliance testing.
• Actively participate on various oversight committees, including Fixed Income Best Execution,
Brokerage Practices, Proxy and Retail Product Committees.
• Conduct On-site Compliance Due Diligence reviews of sub-advisers and vendors. Complete Due
Diligence write-ups and report outcome to CCO.
• Review and complete compliance Due Diligence questionnaires, client certifications, RFP and data
base responses.
• Create and maintain Compliance policies and procedures relevant to the site activities, including but
not limited to Fixed Income Best Execution, Municipal Bond Trade Allocation Procedures for both,
New Issue and Secondary Markets, Non-Municipal Fixed Income Securities Trading, Proprietary
Trading and Side by Side Procedures.
• Collaborate with Compliance colleagues on policies used with corresponding activities conducted at
other locations (e.g. Trade Error Correction, OFAC and Custody of Assets).
• Collaborate with Compliance staff during regulatory examinations, including any necessary gathering,
preparation, and production of materials.
• Implement in person training program for personnel in Chicago for policies and procedures and
practices specific to the location and job duties.
• Assist with the implementation and maintenance of the firms Governance, Risk Management and
Compliance (GRC) system.
• Conduct Daily and Monthly OFAC reviews, and work with outside council as needed regarding OFAC
updates and changes.

2. BMO GLOBAL ASSET MANAGEMENT, BMO Asset Management Corp. 02/07 – 06/14
Senior Compliance Manager
• Provide expertise on U.S. and Canadian securities laws and regulations, including the Investment
Advisers Act of 1940, Investment Company Act of 1940, ERISA, 81-102 Mutual Funds and UCIT.
• Assist in the development, implementation and maintenance of compliance policies, firm risk
assessments, procedures and processes.
• Supervise and perform oversight and testing of the firm’s compliance program, including client
guideline monitoring (Bloomberg AIM), brokerage, best execution, allocation, trade errors, soft
dollars, affiliated transactions, proxy voting, valuation and code of ethics related matters.
• Create and maintain all client guidelines in Bloomberg AIM.
• Successfully completed a conversion of client guideline monitoring system (Charles River) to
Bloomberg AIM for all firm accounts.
• Participate in firm Committees and Sub-Committees: New Business, Risk, Soft Dollars, Best
Execution and Valuation.
• Assist in coordinating and responding to regulatory and/or compliance examinations conducted by
internal and external auditors, and regulatory authorities.
• Assist with preparing quarterly, annual and ad-hoc client compliance reports and participate in client
due diligence meetings.
• Assist with filing and maintaining the firm’s Form ADV.
CALAMOS INVESTMENTS 11/04 – 02/07
Compliance Specialist
• Coordinated testing and ongoing reporting as related to trading desk procedures including investment
guidelines, trade allocation, best execution, short sales, cross trades, IPO’s, trade errors, and soft dollar
transactions.
• Monitored Hedge Fund activity, including establishing and updating policies and procedures, updating
Form ADV Part I and II, establishing appropriate controls and monitoring reports to ensure compliance
with policies and procedures.
• Meet with regulators and provide documents and responses to regulatory requests for information and
any inspections and examinations by regulatory authorities.
• Monitored for Side-by-Side investment conflicts, including working with senior management to
developing reviews and procedures.
• Supported new products and business initiatives by participating in business unit management
meetings and product development process, providing advice on regulatory requirements, draft
supervisory procedures and review training materials.
• Provide risk assessment, and tracking of completion of compliance action plans for business units
including Hedge Funds, WRAP Accounts, Mutual Funds, Institutional Accounts and Private Client
Group.
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD), Market
Regulation
05/00 – 08/04
Compliance Examiner
• Conducted Trading and Market Making Surveillance (TMMS) examinations of the largest market
makers (Tier 1) for compliance with Federal Securities laws and NASD Rules.
• Researched and analyzed firm’s NASDAQ trading activity and identify deviations from NASD’s rules
and regulations.
• Developed comprehensive reports of audit findings which include, but not limited to disciplinary
action, recommendations and on-site consultations.

3. • Presented investigative finding (orally and in writing) to Senior Management of firms regarding the
application and implementation of rules, audit process, and recommendations.
• Conduct Nasdaq LIFFE Exchange (NQLX) examinations for compliance with rules and regulations
relating to firm futures trading activity.
• Conduct Market Regulation “Sweeps” as needed, to review for compliance of various new SEC laws
and NASD rules.
NORTHERN TRUST BANK-NORTHERN FUNDS 05/99 – 04/00
Senior Funds Technician/Certified Investment Representative
• Provided investment support and facilitated trades for institutional clients.
• Coordinated wire reconciliation for IRA Transfers.
SCUDDER-KEMPER INVESTMENTS (formally Kemper Funds) 08/97 - 05/99
Investment Associate
• Product Team Analyst: Worked as liaison between Shareholder Services division and Fund Portfolio
Managers.
• Provided shareholders and broker/dealers with investment support.
EDUCATION
ILLINOIS STATE UNIVERSITY, 1997
Bachelor of Science Degree, Social Sciences with Economics and History Minor