Investment advisers are not in the business of being compliance experts. I bring over 23 years of expertise so your compliance program passes regulatory scrutiny, and you can focus on serving your clients.
Hand off the full responsibilities of being Chief Compliance Officer to a seasoned expert you can trust.
The registration process can be intimidating, but it doesn't have to be. I will handle the entire process so your filings are complete and accurate, and your ongoing obligations are covered.
Registered funds carry their own governance and regulatory obligations. I have served as President and CCO of a multi-fund complex, so I know what the board, the adviser, and the regulators each need and expect.
Drafting policies and procedures is tedious, but it is the first thing a regulator asks for during an exam. I will draft and help implement your complete program.
The annual review judges whether your program is effective through forensic testing, risk assessment, and a response to change, documented in writing as evidence.
Maybe you need a little help now and then, or maybe your compliance team is just stretched too thin. I will provide as much support as you need.
Exams will always be stressful. Preparation eliminates fear of the unknown, instills confidence, and results in a better outcome.
Whether you are launching a new line of business or struggling to keep up with new rules, I can help with complex projects.
I understand the business of registered investment advisers managing a broad range of investment products and investment strategies.
I have spent my career of over 23 years solving compliance and operations challenges for registered investment advisers, mutual funds, ETFs, private funds, and REITs. I have worked with small investment advisers and global firms. I have held positions of Chief Compliance Officer, Chief Operating Officer, and President at a multi-billion-dollar registered funds complex. My goal is to offer practical solutions, without over-complicating, and to instill confidence that you will pass scrutiny.
Large compliance firms sell scale and hand your program to junior staff or a team. I am the opposite. You get one experienced person who understands your challenges.
No handoff to a junior team. The person you hire is the person who does the actual work.
I have run compliance and operations teams, so I know how the work lands on a small team.
I work to understand how your firm actually operates, then tailor everything to the challenges you face every day.
I am selective about the clients I work with and only take on a small number of clients, so I'll always have time for you.
Perhaps you need a hand now and then, or you would rather someone owned the whole compliance program. I will tailor our partnership in a way that works best for you.
Hand off the full role to a senior owner you can trust, without adding headcount to the payroll.
As much or as little help as you need on a recurring basis, sitting alongside your existing team.
A specific problem, scoped and solved, then handed back to your team with documentation they can run.
I want to understand your business and your challenges. Reach out and we will find the right level of support.