Chief Compliance Officer
- 5 Years with the firm
- 20 Years of industry experience
Lori Najjar is the Chief Compliance Officer for Mellon. In this role, she oversees a team of compliance personnel responsible for ethics, regulatory compliance, negotiation of agreements, portfolio guideline compliance, operational risk and monitoring and testing. Among other responsibilities, Lori reviews existing and proposed regulations, industry best practices and corporate policies to assess the implications to Mellon’s business practices and policies.
Previously, she was a senior compliance officer and responsible for the development and implementation of Mellon’s policies and procedures. Lori was responsible for the development and execution of Mellon’s 206(4)-7 policy testing program to ensure compliance with federal securities laws. Lori also managed Mellon’s Compliance Reporting team responsible for client 15cs, RFPs, certifications and compliance due diligence requests.
Lori has twenty years of experience as a Compliance professional in the investment management industry. Prior to assuming her current role, Lori was a Senior Compliance Officer for the legacy investment firm Standish where she was responsible for administering Standish’s 206(4)-7 compliance testing program. Prior to joining Standish, Lori was a Senior Compliance Manager at MFS Investment Management for ten years. Lori has also worked at Fidelity Investments and State Street Research and Management in various compliance roles. Lori is a member of the National Society of Compliance Professionals (NSCP). Lori has a BA from The University of Massachusetts at Amherst.
Experience listed may include partial year periods.