Alan Head Email & Phone Number

Dallas-Fort Worth Metroplex

Austin, Texas, United States

• Responsible for helping to establish the compliance program for a newly registered investment adviser to private funds including updating the compliance policies and procedures • Set up third party platform for reporting of personal trading, gifts and entertainment, political contributions, outside activities and quarterly/annual certifications• Established the expert network compliance program• Responsible for setting up the firm’s broker-dealer including filing the initial Form NMA and follow up requests

TPG affiliated broker dealer that facilitated all private fund marketing and capital markets activities.

Fort Worth, Texas

• Responsible for the administration of the compliance program for the firm’s hedge fund platform including serving as the Cayman registered fund’s AMLCO and MLRO • Handled required regulatory filings (Form ADV, Form PF, Form BD, U4, U5, etc.) • Responsible for the firm’s investor AML program • Member of Valuation and Brokerage Committees, led meetings and kept minutes• Led compliance testing program including preparation of the 206(4)-7 and 3120 reports• Oversight of marketing material review for all funds• Review and oversight of trading, information controls, portfolio management/research for hedge fund

San Francisco, California

TPG affiliated broker dealer engaged in fundraising for private funds advised by third party managers.

Dallas, Tx

Chief Compliance Officer at Nexbank Securities, an affliate of Highland Capital Management. The firm engages in private fund marketing and investment banking activities. I was solely responsible for the firm's compliance program.

Dallas, Tx

Chief Compliance Officer of Highland Capital Management Fund Advisers, L.P. and NexPoint Advisers, L.P.. The Advisers managed 14 open end funds, including 1 ETF, and one closed end fund. In addition, I was also the CCO of Highland Capital Funds Distributor, Inc., the underwriter/distributor for the Highland Funds. • Responsible for developing and leading the compliance program for all the firm’s retail entities including effectively communicating compliance culture to all firm employees.• Interacted with regulators on a regular basis for routine examinations and any ad hoc requests.• Conducted the firm’s 206(4)-7 and 38a-1 annual review and 3012 supervisory controls audits including conducting compliance testing and vendor oversight.• Provide regular compliance reporting to senior executives and the Fund’s Board of Directors and B/D Audit Committee.• Developed and oversaw firm’s sub-advisory oversight program including on-going monitoring of all sub-advisors.• Reviewed and approved all mutual fund, private fund and investment banking marketing materials.• Conducted risk assessments and test firm policies and procedures and update/amend as needed.

Lead the production and development of the firm’s client reporting product, helped to increase the number of reporting clients by 40%, reduced report production time by half, and added new revenue tied directly to product. • Designed and implemented new features and created pricing and marketing strategies for reporting product; targeted and developed new markets & revenue sources for product. • Provided mutual fund and pension plan/ERISA clients with assistance meeting regulatory requirements including best execution and sub-advisor oversight.• Responsible for building relationships with vendors to add and further develop strategic partnerships and revenue sharing arrangements.• Led cross departmental team in project to develop focus list of accounts and prospects that offer greatest future sales opportunities for the firm.

Managed firms overall compliance program including conducting supervisory controls audits, oversight of TRACE, MSRB & OATS reporting and the employee trading program.•Led yearly firm Rule 3012 audits including assigning tasks, testing and updating procedures, preparing final report, and presenting results to CEO and executive committee.•Reviewed and approved advertising, correspondence (both written and electronic) & soft dollar vendors and invoices.•Provided guidance to clients on topics relating to applicable regulations including the Investment Advisor and Investment Company Acts. •Responsible for all firm and individual CRD filings. •Updated written supervisory procedures, conducted firm element continuing education and annual compliance meetings; review accounts for compliance with AML regulations.