Dawn O. Timmons

Dawn Timmons has spent over twenty years building compliance programs for domestic and global asset management businesses, using her unique skill set to save organizations money, time, and resources.  Throughout her career, Dawn has been a sought-after advisor to senior stakeholders on regulatory matters and compliance risk, because of her ability to quickly distill complex issues into actionable items that delivered cost-saving, tangible results.  

As the Chief Compliance Officer of the data analytics division of a global ratings agency, which included a registered investment advisor, Dawn successfully designed and implemented a compliance program, which created a culture of compliance for employees, raised the profile of compliance as a strategic control function and efficient problem-solver across business, legal, risk, technology and operational teams, and built credibility as a trusted advisor to senior leaders throughout the organization. 

Dawn is well-versed in the regulatory considerations and challenges faced by asset management and financial data businesses, whether public or privately held companies, newly formed or mature businesses.  In her current role as a consultant to asset management firms, Dawn develops organizational frameworks that resolve time-sensitive challenges and anticipate future requirements. Her advice and experience are valuable to organizations that want long-term growth while avoiding the legal, operational, and reputational costs of noncompliance.  

Known as someone who gets things done, Dawn is a natural choice as a consultant or board member for financial services companies that need a business savvy compliance subject matter expert to provide practical, results-oriented guidance during times of growth or challenge.  Dawn would be an excellent fit for firms selling financial or alternative data in products, advisory businesses, including asset managers, experiencing regulatory growing pains, or in need of an experienced compliance executive to oversee risk and audit committees. 

SELECT ACCOMPLISHMENTS

  • Identified and remediated deficiencies in training materials before they were discovered by regulators, saving the company over $250,000 in outside fees and potential fines.

  • Managed a regulatory exam for a SEC-registered investment advisor that resulted in no deficiencies or findings, and increased the firm’s reputational value as a business with a strong control environment prior to its sale to a well-known asset manager.

  • Subject matter expert and liaison between business unit executives and legal teams responding to litigation, and significant regulatory interactions, such as subpoenas and other formal legal inquiries.

  • Developed specialized training materials for a product team at the request of a senior People Operations executive, the content for which became the model for training used in other divisions and added to the firm’s Code of Ethics. 

  • Remediated material compliance deficiencies of investment advisers acquired through mergers prior to their integration into larger business units, facilitating a standardized compliance infrastructure.

  • Designed and implemented compliance frameworks, including policies, procedures, training materials, and risk assessments for registered investment advisers that minimized regulatory risk.

EXPERIENCE

  • Managing Partner
    DOTimmons LLC (2022-present)

  • Global Chief Compliance Officer
    S&P Global Market Intelligence (2014-2021)

  • Vice President, Compliance Officer
    Guggenheim Partners (2007-2013)

  • Vice President, Compliance Officer
    Smith Barney/Citigroup (2004-2007)

  • Compliance Officer
    HSBC/Bank of Bermuda (2002-2004)

  • Associate
    Goldman Sachs &Co. (1998-2002)

EDUCATION

  • DePaul University
    Kellstadt Graduate School of Business
    Master of Business Administration

  • Roosevelt University
    Lawyer’s Assistant Program
    Paralegal Certificate With Honors
    Corporations and Securities 

  • Bates College
    Bachelor of Arts
    Political Science