Chief Compliance Officer - Private Funds, Trusts & Fintech Advisors
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Highly committed outsourced chief compliance officer (OCCO) with 20+ years of Securities Exchange Commission (SEC) compliance and risk management experience on behalf of registered investment advisers (RIAs), including, fund managers, fintech advisors, and private equity firms. Develop, implement, and manage RIA compliance programs subject to SEC governance under the Investment Advisers Act of 1940 and/or Investment Company Act of 1940. Serve as client consultant to firm management and independent trustees on compliance policy and regulatory concerns.
Collaborate with C-level officers and investment personnel to conduct organizational assessments to implement risk mitigation protocols concerning portfolio management, trading activities, marketing, cybersecurity, and code of ethics. Partner with RIAs to optimize efficiencies, foster compliance culture, and enhance success while safeguarding regulatory exposure. Specialization in fintech startups with keen understanding of compliance implications for investment strategies centered on the use of artificial intelligence (AI), quantitative models, and interactive operational websites.
OCCO with experience in leading numerous clients through regulatory examinations. Previously led compliance functions for $1B+ division of Morgan Stanley; served as FINRA investigator and analyst for 7+ years.
Outsourced CCO for RIAs with FINRA examiner/analyst experience.
Bachelor of Science, Towson University
Series 7, Series 24, and Series 66
