Manager, Fund Governance Solutions
Lisa Shea is a Senior Vice President and Manager in Northern Trust’s North American Fund Governance Solutions group. Lisa focuses on supporting asset manager clients in regulatory and distribution matters. With over 20 years' experience working with various registered and unregistered fund structures, Lisa’s practical knowledge of how US funds are governed, sold and serviced provides clients with consultative support to help them navigate the evolving marketplace. Lisa joined Northern Trust in 2001.
Prior to joining Northern Trust, Lisa has held management and client services roles with several asset management and brokerage clearing firms in the US, including Fidelity Investments/National Financial Services and US Clearing. During her tenure with Northern Trust, prior to her current role, Lisa was the Head of US Transfer Agency, and served in leadership roles in our EMEA Transfer Agency and in C&IS Product Management.
Lisa holds a Master of Arts degree from Montclair State University, and a Bachelor of Arts degree from Rutgers, the State University of New Jersey. Lisa received a B.A. degree in English from Rutgers College of Rutgers, the State University of New Jersey, and a M.A. degree in English from Montclair State University in New Jersey.
Lisa held FINRA Series 6, 7, 24, 26, and 63 licenses. Lisa is an ACAMS Certified Anti-Money Laundering Specialist.
Lisa currently serves as the industry co-chair for the Investment Company Institute’s (ICI) Transfer Agent Advisory Committee, and is a member of the ICI’s Operations Committee.
Lisa's Insights & Research
March 17, 2020
How can asset managers help ensure their operating models meet the demands of asset-raising? Watch perspectives from Sascha Calisan, Head of Distribution Support and Lisa Shea, Manager, Fund Governance Solutions.
March 5, 2020
Learn about the approaches U.S. asset managers can take to distribute funds in Europe.
June 20, 2019
The Securities and Exchange Commission recently adopted a new regulation that calls for brokers-dealers to act in the best interest of their retail clients.