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Asset Servicing

Lisa Shea

Manager, Fund Governance Solutions

Lisa Shea is a Senior Vice President 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 of 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 her current role, she has held a number of leadership and management roles in our Transfer Agency and Product Management teams, including an assignment in our Ireland location.  Prior to joining Northern Trust, Lisa has held management and client services roles with several asset management and brokerage clearing firms in the US. 

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. She formerly 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 Transfer Agent Advisory Committee, and is a member of the ICI’s Operations, Small Funds, and Series Trust Committees.

  

Lisa's Insights & Research

It's far from inconspicuous that the COVID-19 pandemic has changed the workplace environment as we once knew it. Lisa Shea examines how we can emerge from this challenging time and remain resilient as we have when faced with obstacles in the past.

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.

Learn about the approaches U.S. asset managers can take to distribute funds in Europe.

Read about the latest regulatory changes impacting the investor pool and changing the fund landscape.

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.

US mutual funds reported sizable growth in the first quarter, demonstrating ongoing investor demand despite rising cost pressure.

The repercussions for the mutual fund industry continue with the SEC’s Regulation Best Interest (Reg BI) on the horizon, which has significant impact on broker-dealers and advisors.