Michael Lewis

Chief Compliance Officer, Saturna Capital Corporation

Professional Overview
Michael Lewis is an experienced Chief Compliance Officer with a proven track record of ensuring regulatory compliance and risk management within the financial services industry. With over a decade of specialized expertise, he is adept at navigating complex regulatory frameworks and implementing robust compliance programs to protect organizational integrity.

Experience Summary

Current Role
As the Chief Compliance Officer at Saturna Capital Corporation since 2012, Michael is responsible for overseeing the firm's compliance with all applicable laws, regulations, and internal policies. He leads a team of compliance professionals in developing and maintaining comprehensive compliance procedures, conducting risk assessments, and implementing effective monitoring and reporting systems. Under his guidance, Saturna Capital has consistently maintained a strong compliance posture, demonstrating the firm's commitment to ethical business practices.

Career Progression
Prior to joining Saturna Capital, Michael held compliance roles of increasing seniority at several financial institutions, including serving as the Senior Compliance Manager at Fidelity Investments and the Compliance Analyst at Wells Fargo Advisors. Throughout his career, he has honed his expertise in areas such as securities regulation, anti-money laundering (AML) compliance, and trade surveillance, contributing to the successful resolution of complex compliance-related issues.

Academic Background
Michael holds a Bachelor of Science in Business Administration from the University of Washington, where he graduated with honors. He also possesses a Certified Regulatory and Compliance Professional (CRCP) certification from the FINRA Institute at Wharton, demonstrating his commitment to continuing professional development and staying abreast of evolving regulatory landscapes.

Areas of Expertise

• Financial services compliance and risk management

• Securities regulation and reporting

• Anti-money laundering (AML) compliance

• Trade surveillance and monitoring

• Compliance program development and implementation

• Regulatory change management

• Auditing and testing procedures

• Compliance training and employee education

Professional Impact
Under Michael's leadership, Saturna Capital has consistently maintained a strong compliance record, with no significant regulatory infractions or enforcement actions. He has played a pivotal role in shaping the firm's compliance culture, fostering a proactive and transparent approach to risk management. Michael's expertise and strategic guidance have contributed to the firm's reputation as a trusted and compliant investment management provider.

Conclusion
With his extensive expertise in financial services compliance and a track record of successful program implementation, Michael Lewis is a valuable asset to Saturna Capital Corporation. His unwavering commitment to ethical business practices and proven ability to navigate complex regulatory environments make him a trusted advisor and a driving force behind the firm's continued success.