Brian Petraitis Email & Phone Number

Chicago, Il, Us

Covington, Kentucky, Us

Chicago, Illinois, Us

Northfield, Illinois, Us

London, England, Gb

Assisting clients with SEC, CFTC, FINRA, and FCA regulatory and compliance obligations. Working with investment advisers and fund managers of private equity funds, venture capital funds and hedge funds, as well as, Broker-Dealers.

New York, Ny, Us

Frankfurt Am Main, Hessen, De

• Develop and implement policies, practices and procedures to insure compliance with regulatory rules and regulations. • Participate in regulatory work streams, audits, and coordinate and manage governmental submissions. • Manage and delegate regulatory tasks to individuals throughout the company, and consolidate the responses to provide deliverables to business heads. • Provide the regulatory input in order to obtain timely regulatory approvals as part of product development planning.

New York, Ny, Us

• Conduct mock SEC inspections of Investment Advisers and Broker-Dealers for compliance with federal securities laws to identify rule violations and provide recommendations to mitigate deficient areas along with providing guidance on industry best practices.• Provide compliance support for various types of Investment Advisors including Private fund, Hedge fund, Private Equity, and Fund of Fund Advisors.• Interpret rules and regulations of the Investment Advisors Act of 1940, and the Securities Exchange Act of 1934 and provide clients with guidance and training on how to complying with rules and regulations.• Conduct reviews of clients marketing material, presentation material, DDQ’s and RFP’s before use to ensure compliance with applicable rules and guidance.• Create customized policies and procedures that would be compliant with the SEC, state and other regulators, also assist clients with applicable Federal and State filings.

Washington, Dc, Us

• Conduct examination of Investment Advisers, Investment Companies and Transfer Agents for compliance with the federal securities laws.• Interpret and enforce rules and regulations of the Investment Advisors Act of 1940, the Investment Company Act of 1940, and the Securities Exchange Act of 1934.• Prepare detailed reports summarizing findings and recommendations discovered during examinations.• Created assignments and lead a team of examiners for a high risk examination.

Washington, District Of Columbia, Us

· Regulate activities of FINRA member firms. · Conduct on-site reviews of brokerage firms’ financial statements, sales practices, and operations to ensure compliance with NASD, MSRB, and SEC regulations.· Prepare reports detailing the violations discovered during on-site reviews and correspond with member firms along with FINRA attorneys to resolve their violations.· Review and approve member firms’ monthly and quarterly financial filings as a way to review the firms’ financial health.· Advisor on regulatory issues for assigned broker dealers.

Chicago, Il, Us

· Assisted in NASD and NYSE compliance exams.· Prepared month-end statements for the CFO and escheated accounts for the firm to be sent to various states.· Sorted databases for the Information Technology department at the discretion of the CFO.· Updated and maintained a website used by brokers and correspondents.

Bs, Accounting

Accounting