Medford, New Jersey, United States
Senior Consultant with responsibility for providing investment management clients with regulatory advice and solutions. Keep clients current on regulatory changes that impact their business and industry best practices. Assist investment management firms with regulatory and compliance issues and the development, implementation and testing of risk and compliance programs. Member of the practice team for registered advisers with credit-focused strategies.
Manager in the Financial Services Regulatory Practice managing all aspects of SEC regulatory compliance engagements with investment management clients. Provided advice to investment management firms on regulatory and compliance issues and the development, implementation and testing of risk and compliance programs.
Examiner for federal government agency that regulates financial market participants and enforces federal securities laws. Performed compliance examinations and investigations of investment companies and investment advisers in order to determine possible regulatory violations.