Benjamin David Vice

1140 Avenue of the Americas, New York, New York

● Approximately $4bn AUM

● RV/Global Macro Funds

Compliance Associate, June 2015-Present

Compliance Responsibilities:

● Provide assistance for Form ADV, CPO-PQR, Form PF, Annex IV, 13F, 13H, amongst other filings.

● Assist the CCO in reviewing and editing the Firm's Compliance Manual, Code of Ethics, Allocation, as well as offshoot policies such as cybersecurity, expenses and valuation.

● Draft internal policies and procedures related to compliance reviews and functions.

● Assist with both exchange and regulator inquiries and on-site examinations when applicable.

● Review marketing documentation and investor related materials to ensure compliance with 206(4)-1 of the Advisers Act.

● Handle general personal trading and gifts inquiries from employees.

● Provide compliance training to new employees, as well as assist with annual compliance training for the firm.

● Monitor equity trading to ensure Reg Sho requirements.

● Conduct daily trade allocation reviews, cancelled trades reviews, EU short sales, 13F and ETF ownership tracking.

● Handle new product approval requests from investment team

Legal Responsibilities:

● Assist the GC with reviewing and negotiating third party vendor agreements for a variety of firm related purposes; data feeds, risk modeling, compliance science, cyber security, amongst others.

● Assist the GC with the review and, to the extent necessary, negotiation of ISDA, MSFTA and other counterparty related agreements.

● Assist with fund offering documentation.

● Liaise with U.S. outside counsel providers from time to time concerning one-off legal matters.

● Liaise with Cayman counsel relating to Fund matters, updating of registrar of mortgages, etc.

● Research jurisdictional laws concerning securities registration.

● Conducted cycle trading examinations of broker-dealers, clearing firms, and non-FINRA registered high frequency proprietary trading firms on behalf of FINRA, SEC, and various exchanges, including NASDAQ, NYSE, Direct Edge and BATS.

● Performed investigations through on-site examinations and extensive comparative analysis.

● Reviewed for compliance with Regulation SHO, Regulation NMS, Regulation ATS, Trade reporting, OATS Reporting, Market Access and Written Supervisory Procedures.

● Liaised with the BD's compliance contacts to obtain all required materials for review.

● Presented investigative findings to senior management and the legal department for enforcement action.

The John Marshall Law School, Chicago, Illinois

Juris Doctorate, January 2013

The University of Illinois at Urbana-Champaign, Champaign, Illinois

Bachelor of Arts in Economics, May 2009