I am a licensed attorney in New York with over twenty years of compliance experience. From July, 2005 through June, 2013, I served as the Chief Compliance Officer for two global, multi-billion dollar hedge fund advisers. My experience has included: (i) registering three investment advisers with ...more

I am a licensed attorney in New York with over twenty years of compliance experience. From July, 2005 through June, 2013, I served as the Chief Compliance Officer for two global, multi-billion dollar hedge fund advisers. My experience has included: (i) registering three investment advisers with the U.S. Securities and Exchange Commission (the “SEC”), (ii) building the compliance infrastructure and implementing forensic testing programs for three registered investment advisers and (iii) successfully handling two SEC examinations. I also served as a senior examiner at FINRA for over three years. This experience provided me with invaluable insight into the inner workings of a regulator and the process by which they bring enforcement actions for rule violations. My areas of expertise include: (i) the U.S. Investment Advisers Act of 1940, (ii) the U.S. Securities Exchange Act of 1934, (iii) the U.S. Securities Act of 1933, (iv) the Dodd–Frank Wall Street Reform and Consumer Protection Act, (v)SEC registrations, (vi)SEC examinations, (vii)identifying and mitigating compliance risks through policies, procedures and forensic testing, and (viii) algorithmic trading compliance.less