Lisa Falotico
About Lisa Falotico
Lisa Falotico serves as the AVP, Mutual Fund Services Compliance Supervisor at Eaton Vance, where she specializes in compliance areas such as 22c-2/Market Timing and Intermediary Oversight. With over 14 years of experience in the financial services industry, she has a strong background in mutual fund operations compliance.
Current Role at Eaton Vance
Lisa Falotico serves as the AVP, Mutual Fund Services Compliance Supervisor at Eaton Vance, a position she has held since 2019. In this role, she focuses on compliance areas including 22c-2/Market Timing, Intermediary Oversight, and Records Management. Her responsibilities involve ensuring adherence to regulatory requirements and overseeing compliance processes within mutual fund operations. Based in Wrentham, Massachusetts, she commutes to Boston for her work.
Experience in Compliance Roles
With over 14 years of experience in compliance roles within the financial services industry, Lisa Falotico has developed a strong expertise in mutual fund operations compliance. Prior to her current position, she worked at Eaton Vance as a Senior Operations Compliance Specialist from 2009 to 2019. Her career also includes a significant tenure at Putnam Investments, where she served as a Senior Client Support Administrator from 2000 to 2009.
Educational Background
Lisa Falotico studied at Syracuse University, where she earned a Bachelor of Science (B.S.) degree in Public Relations. This educational foundation has contributed to her effective communication skills and understanding of the financial services landscape.
Professional Skills and Specializations
Lisa specializes in several compliance areas critical to mutual fund operations. Her expertise includes 22c-2/Market Timing, which involves regulations on fund pricing and trading practices, as well as Intermediary Oversight and Records Management. These skills are essential for maintaining compliance and ensuring operational integrity within the financial services sector.