Anthony Puma

Anthony Puma has over 16 years of experience in the financial industry, with a strong focus on portfolio compliance and surveillance.

Anthony started their career in 2004 at Smith Barney - Citigroup, Global Wealth Management, where they worked as a Special Supervision Analyst. In this role, they conducted thorough reviews of financial advisors' profiles and histories to determine if heightened supervision was necessary.

In 2005, Puma joined Morgan Stanley Investment Management. Anthony initially served as an Operations Compliance Officer, responsible for drafting and implementing policies and procedures for the Operations Business Units. Anthony later transitioned to the role of Fixed Income/EMD Surveillance Compliance analyst, where they monitored and conducted daily surveillance of various accounts using the Latent Zero Sentinel Compliance system.

In 2011, Puma joined Barclays Wealth and Investment Management as a Portfolio Management & Trading Compliance Officer. Anthony'sresponsibilities included managing investment strategies, coding and maintaining compliance systems, attending committee meetings to ensure adherence to regulations, calculating and distributing AUM reports, and overseeing the launch of new business initiatives.

Puma then moved to Stone Harbor Investment Partners in 2013, where they served as a Compliance Officer. In this role, they conducted daily monitoring and surveillance of accounts using the Bloomberg AIM Compliance system, researched and identified compliance errors, and prepared guideline summaries.

Currently, Puma is working at Cohen & Steers since 2015 as the SVP and Head of Portfolio Compliance. In this position, they likely continues to oversee and manage portfolio compliance operations for the company.

Anthony Puma attended SUNY Oneonta from 1999 to 2003, earning a Bachelor of Science degree in Business Economics.