Stanislav Gorbunov
Los Angeles
Summary
Proven compliance professional with experience in mutual funds, separately managed accounts, and commingled fund clients with a focus on compliance and operations. Broad and substantial understanding of the diverse issues facing investment advisers including regulatory filings, policies and procedures, and regulatory examinations.
Overview
12
12
years of professional experience
Work History
Vice President, Senior Compliance Officer
Payden & Rygel
03.2025 - Current
- Oversight of entire compliance program related to mutual fund complex.
- Manage a group of junior associates to ensure policies related to the funds' compliance program are tested on a regular basis and refined as needed.
- Monitor regulatory regulatory developments, new rule making, enforcement actions related to registered funds and ensure compliance program is updated to meet the needs of new regulations.
- Present on a regular basis the the board of directors of mutual fund complex on topics related to liquidity and valuation of the firm's funds, regulatory developments, compliance issues and resolutions, etc.
Sr. Associate, Sr. Mutual Fund Compliance Officer
Payden & Rygel
04.2023 - 03.2025
- Responsible for testing of compliance program for a mutual fund complex.
- Evaluate and refine policies and procedures related to registered fund compliance.
- Led cross-functional teams to streamline operational process and enhance productivity.
- Conduct tests to ensure compliance processes are in-line with compliance policies.
- Facilitate required SEC, FINRA, NFA, etc. filings to ensure adviser and fund complex remain registered and compliant with all relevant regulations.
Sr. Compliance Specialist
Capital Group
04.2021 - 04.2023
- Responsible for oversight and resolution of regulatory compliance issues, including oversight of registered investment adviser filings and related disclosures.
- Partner with Capital Group’s Chief Compliance Officers to support and enhance the firm’s compliance program.
- Partner with, and provide guidance to, Capital Group’s product team to offer new investment products to clients.
- Train new compliance professionals and help to build a strong working partnership with other business units.
- Lead and contribute to complex institutional client contract negotiations of all sizes.
- Review and contribute to comment letters for proposed SEC rules (most recently Rule 2a-5).
Compliance Specialist
Capital Group
03.2019 - 04.2021
- Legal and compliance specialist with a focus on separately managed accounts, commingled funds, and mutual funds.
- Assist in contract negotiations for institutional clients up to 3B account size.
- Oversight of non-U.S. country registrations for mutual funds and commingled funds across Capital Group.
- Lead department-wide process improvement initiatives and projects.
Fixed Income Portfolio Compliance Analyst
Capital Group
09.2017 - 03.2019
- Responsible for fixed income mutual funds as well as institutional and private client accounts to ensure they remain in compliance with established internal and client guidelines. (270B AUM)
- Cultivate and lead department-wide process improvement initiatives.
- Partner with various groups to make sure new client accounts are operationally ready.
- Specialization: Contingent Convertibles, Asset Segregation, Derivatives, CRD, Aladdin.
Fixed Income Portfolio Compliance Associate
Capital Group
11.2015 - 09.2017
- Responsible for fixed income mutual funds as well as institutional and private client accounts to ensure they remain in compliance with established internal and client guidelines.
- Serve as a resource for multiple departments on client/investment queries including ad hoc, monthly, quarterly, and annual reporting.
- Develop and lead team process improvement projects.
Sr. Adviser Marketing Representative
Capital Group
09.2014 - 11.2015
- Proactively offer products for financial advisers to be more effective at selling our mutual funds.
- Successfully assist in creating portfolios for financial advisers’ clients to meet their investment goals.
- Create hypothetical presentations for advisers to present to clients.
- Facilitate team meetings on a regular basis to keep team informed about current company and market conditions.
Governance and Proxy Analyst
Capital Group
03.2015 - 07.2015
- Interpret and analyze corporate proxy statements.
- Prepare summaries of proxy voting items for Capital Group research analysts, investment committee members, and other investment group professionals.
- Research missing or incomplete information listed on proxies by using third-party vendors such as Glass Lewis and ISS.
- Perform ad hoc research requests.
Adviser Marketing Representative
Capital Group
10.2013 - 09.2014
- Effectively communicate with the financial adviser community to help raise and retain company assets.
- Accurately provide information regarding our funds, investment results, options for investing, and related context in a dynamic market.
- Inform advisers on how to be more effective sellers of our funds by educating them on the tools and sales ideas available, including hypothetical illustrations, sales literature, and various other marketing materials.
Education
B.A. - Sociology
University of California, Irvine
01.2012
Skills
- SEC RULES AND REGULATIONS
- WRITTEN AND VERBAL COMMUNICATION
- LEADERSHIP
- MICROSOFT OFFICE SUITE (EXCEL, WORD, POWERPOINT, ONENOTE, MS TEAMS)
- CHARLES RIVER INVESTMENT MANAGEMENT SOLUTION (CRD)
- BLACKROCK SOLUTIONS - ALADDIN
Community Service
Peace Over Violence, Vice President – Board of Directors, 2013-09, 2020-03, Elected VP by the board as of 1 January 2017., Maintain fiduciary and governance responsibilities for Peace Over Violence, a mid-sized non-profit organization in Los Angeles County focused on aiding survivors of sexual violence and domestic abuse., Develop and ensure execution of strategic plan., Fund raise and advocate for Peace Over Violence., Chair of Board Affairs committee and head of Board Recruiting.
Timeline
Vice President, Senior Compliance Officer
Payden & Rygel
03.2025 - Current
Sr. Associate, Sr. Mutual Fund Compliance Officer
Payden & Rygel
04.2023 - 03.2025
Sr. Compliance Specialist
Capital Group
04.2021 - 04.2023
Compliance Specialist
Capital Group
03.2019 - 04.2021
Fixed Income Portfolio Compliance Analyst
Capital Group
09.2017 - 03.2019
Fixed Income Portfolio Compliance Associate
Capital Group
11.2015 - 09.2017
Governance and Proxy Analyst
Capital Group
03.2015 - 07.2015
Sr. Adviser Marketing Representative
Capital Group
09.2014 - 11.2015
Adviser Marketing Representative
Capital Group
10.2013 - 09.2014
B.A. - Sociology
University of California, Irvine
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