Brian Roberts Email & Phone Number

Denver, Colorado, Us

HighCamp is a boutique compliance consulting and outsourcing firm helmed by former Securities and Exchange Commission (“SEC”) examiners, Chief Compliance Officers, and proven consulting professionals. HighCamp specializes in regulatory compliance and operational support for exempt and SEC-registered private equity, real estate, venture capital, hedge fund, and institutional alternative managers. HighCamp is 100-percent employee owned, with a gender-balanced leadership team. The company has locations in New York City (Metro), Los Angeles, Dallas, Denver, Milwaukee, and Bozeman.

Hermosa Beach, California, Us

Managed all aspects of regulatory compliance program under the Investment Advisers Act of 1940, as amended, other federal securities laws, and UK and EU investment adviser regulationsCreated the firm's environmental, social, and governance program from the ground up, managed compliance with its requirements, liaised with relevant vendors, and served as primary ESG point of contact for limited partnersReviewed and approved marketing, investor relations, and public relations materialsOversaw administration of the firm's Code of EthicsCompleted, reviewed, and submitted complex regulatory filings, including Form ADV, Form PF, BEA, and FCA reportsDrafted compliance policies and procedures and revised existing policies to address changing regulatory requirements and riskTrained staff regarding regulatory and legal requirements applicable to Marlin and its employeesConducted annual compliance program reviews in accordance with Rule 206(4)-7 under the Advisers Act

New York, Ny, Us

Led and collaborated on dozens of mock SEC examinations and Rule 206(4)-7 annual reviews of private and public fund managers alongside former SEC and NFA personnel.Guided investment advisers through SEC examinations, including by evaluating proposed responses to examiners’ document requests and coaching executives in preparation for interviews.Advised private fund managers regarding practical application of federal securities laws and regulations.Managed numerous aspects of client compliance programs, including ongoing testing, collection and evaluation of required employee reporting via compliance software, and maintenance of policies and procedures.Managed ACA's Templates group, which maintains template compliance manuals and mock SEC examination reports. Co-led ACA's Cryptocurrency Research group, including managing the publication of white papers, articles, and webcasts, and maintaining ACA's thought leadership regarding the regulation of digital assets.Drafted compliance manuals and accompanying documentation, and enhanced existing compliance materials.Spoke at industry conferences regarding regulatory developments and recommended improvements to attendees’ compliance programs.Reviewed client marketing materials for compliance with Rule 206(4)-1 and no-action guidance.Led electronic communications reviews, designed targeted searches, and flagged potential regulatory and human-resources issues for client review.Oversaw SEC registrations for new and existing investment advisers, drafted Form ADV Part 2A brochures, managed annual and other-than-annual Form ADV updates, and administered client filings via the IARD portal.Conducted annual and targeted compliance training sessions for client staff, including updates on regulatory developments, enforcement trends, and descriptions of relevant policies and procedures.

Reviewed complex currency traders' correspondence for international bank, in response to SEC request.

Reviewed sensitive foreign-language documents and correspondence for multinational corporation, in preparation for response to SEC subpoena. Prepared reports regarding issues discovered in review for escalation to client.Performed quality control review to verify accuracy of first-level findings.

Advised New York City's elected and appointed officials and employees regarding actual and potential violations of Chapter 68 of the New York City Charter.Assessed possible violations of City Conflicts of Interest Law, presented recommendations to the Board, and prosecuted suspected violators.

Boston, Ma, Us

Advised venture capital and private equity investment managers, as well as private and publicly traded companies, on a broad range of corporate matters, including:• Regulatory compliance• Mergers and acquisitions• Public and private securities offerings• Venture capital financings• Corporate governanceRepresentative transactions include:• $72 million acquisition of a leading industrial manufacturing company.• Representation of global asset management firm in multiple offerings of money market and government-issued securities.• $64 million acquisition of a national nutritional supplement manufacturer.• $75 million acquisition of specialty paper manufacturer and subsidiaries.• $66 million strategic acquisition of a popular travel website.

Boston, Ma, Us

Completed extensive research and drafted memoranda on complex litigation and finance issues.Reviewed due diligence materials and drafted closing documents for sustainable energy project financings.

Observed oral arguments and motion practice in the courtroom of Hon. Justice Charles Ramos. Researched applicable legal issues, and drafted bench memoranda and published court decisions.

J.D.

B.A. Magna Cum Laude, Philosophy

Education record