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San Francisco Bay Area United States

President/Compliance Consultant

Finance / Banking / Insurance

Mission: Working within the Investment Community to Make a Social Impact Professional Background: Executive with over ten years of compliance, trade support, operations, audit, business continuity, and related back office experience in the investment management/advisory industry. Serving the Investment Advisors/Family Offices/Hedge Fund community Consulting Services Offered: Daily Check-Up for initial review** Working with your Chief Compliance Officer Providing updates on SEC Requirements IARD Registration procedures/Filing with the State(s)/Cost Analysis Analysis of Dodd-Frank compliance requirements Creation of a Compliance Manual (Code of Ethics, Soft Dollars, etc) Bu