Adrien Pesa Email & Phone Number

Singapore

Mountain View, Ca, Us

Collaborates with entrepreneurs, innovators, and visionaries to build high-margin, fast-growing private companies.

New York, Us

Responsible for overseeing an enterprise-wide compliance function across six functional compliance areas: investment management, broker-dealer, consumer banking, financial crime, business line (product and marketing), and holding company (corporate) compliance.Crafted and deployed a cohesive risk-based regulatory compliance strategy that allocated people, resources, and budget in line with regulatory compliance risks and requirements.Built, scaled, and led a team of 29 compliance professionals in a fast-paced environment, fostering a team operating culture that valued a rapid operational tempo, agile cycles of decision-making and assessment, and structured communication forums, creating significant competitive advantages, including relatively low operating costs, superior service delivery, and fast execution.Managed the compliance function’s budget, employee compensation, hiring assessment and selection criteria, employee performance standards, team organizational structure, and operational planning and resource allocation in accordance with guidelines developed by the Finance and HR functions.Advised executive management on a broad range of issues, developing forward-thinking solutions that supported the company’s rapid scale and growth, including compliance strategy, regulatory engagement, and industry best practices.Worked closely with direct reports on various regulatory examinations and operational matters during a period of significant scaling of the company’s staff, product offerings, and customer base.Partnered with internal and external counsel and trade organizations to manage the company’s advocacy initiatives.Advised Product and Marketing function stakeholders on consumer financial protection, including Reg DD, privacy, and UDAP/UDAAP, as well as fiduciary duty, and approved related policies, procedures, and training materials regarding applicable compliance requirements.

New York, Us

Built the company’s investment management compliance program, including policies and procedures, annual compliance review, testing, monitoring, risk assessment, and reporting, tailoring the program to the company’s operations and conflicts of interest in light of the Investment Advisors Act of 1940 and related securities laws and regulations.Planned and scaled the company’s regulatory compliance function from foundational inception into a robust team, ensuring compliance risk and governance standards that reinforced strategic objectives in line with company scale and complexity.Managed and coordinated the company’s efforts to prepare for and respond to its inaugural state regulatory agency and SEC examinations, working closely with cross-functional colleagues and setting a foundational precedent for compliance success.Cultivated relationships with internal and external counsel and vendor stakeholders to ensure the smooth coordination of strategic initiatives such as business model and legal entity reorganizations.Reviewed product, marketing, and operations work product and development in accordance with the firm’s policies and procedures and compliance requirements.

Provided one-on-one coaching for financial services professionals focused on training productivity and peak performance, including developing individualized plans to support clients in overcoming challenges and achieving goals.

Honolulu, Hawaii, Us

Served in a dual-hatted role, ensuring compliance across the bank’s Wealth Management Group and its investment adviser affiliate, Bishop Street Capital Management (SMA and mutual fund manager).Worked with traders, portfolio managers, client relationship managers, and operations personnel to implement compliance controls, enhancing compliance posture and investment process efficiency.Supported the compliance function with documentation, monitoring, and testing, as well as FDIC and State of Hawaii Department of Commerce and Consumer Affairs regulatory examinations of the bank’s Trust Department.Completed the bank’s management training program, including rotations across the bank’s various lines of business.

Honolulu, Hawaii, Us

Conducted compliance monitoring, testing, and reviews in line with the Investment Advisors Act of 1940, bank asset management supervisory rules, and related securities laws and regulations.

Honolulu, Hawaii, Us

Assisted with the administration of fiduciary structures.

Atlanta, Georgia , Us