Dan Mitchell Email & Phone Number

Portsmouth, New Hampshire, US

• Oversee operations, compliance and legal functions for a $2B AUM investment advisor managing hedge funds, mutual funds, and separately managed accounts, ensuring best business execution.
• Review legal and compliance matters across the organization.
• Identify, assess, and mitigate operational, compliance, cybersecurity, and competitive risks. Lead in enhancing and developing firm risk management policies and procedures and internal controls.
• Spearhead the launch of new investment products, including mutual funds and hedge funds, managing the full lifecycle from inception to execution.
• Negotiate with third-party service providers, including drafting and reviewing key contracts such as triparty trading agreement, prime broker and fund services agreements.
• Conduct thorough due diligence on potential acquisitions and manage RFI/DDQ inquiries from institutional clients, ensuring alignment with strategic goals.

Portsmouth, New Hampshire, US

• Directed legal and compliance functions as Chief Compliance Officer and General Counsel, led a compliance team dedicated to ensuring adherence to regulatory requirements and best practices across firm operations.
• Developed, implemented, and managed the firm’s Compliance Program under SEC Rule 206(4)-7, ensuring robust compliance with all applicable securities laws.
• Reviews of compliance policies, updating the Code of Ethics, operational and risk policies, and analyzing the effectiveness of internal controls. Prepared the firm’s 206(4)-7 annual review report.
• Conducted regular compliance testing and monitoring to assess the effectiveness of policies and internal controls, mitigating compliance risk.
• Designed and implemented comprehensive compliance and Code of Ethics training programs for employees
• Advised on legal matters across departments, ensuring that all business activities remained in compliance with regulatory frameworks.

• Leadership in Legal & Compliance: Managed legal and compliance functions for Claragh Mountain Investments ensuring regulatory compliance and mitigating legal risk across the firm’s operations.
• Compliance Program Development: Developed, implemented, and maintained comprehensive compliance and policies and procedures based on SEC Rule 206(4)-7.
• Compliance Manual Creation: Drafted and maintained the firm’s Policy and Procedures Manual and Code of Ethics made updates to ensure continued compliance and operational effectiveness.
• Annual Compliance Review: Led the annual review of compliance policies, operational and risk policies, and internal controls. Analyzed compliance risks and drafted annual compliance review report.
• Fund Documentation & Due Diligence: Reviewed key hedge fund formation documents in new hedge fund launch
• Employee Training & Compliance Culture: Led ongoing training programs for employees and partners on legal and compliance matters, fostering a strong culture of compliance. Conducted compliance testing including best.

• Legal & Compliance Oversight: Managed legal, compliance, and operational functions for a family investment office, ensuring adherence to applicable laws and internal policies.
• Contract Negotiations: Led negotiations and drafted contracts with third-party service providers, securing favorable terms while mitigating risk.
• Due Diligence & Investment Analysis: Conducted due diligence on prospective private investments, including reviewing term sheets, business agreements, and potential legal risks.

US

• Legal & Compliance Advisory: Provided legal and compliance advice to senior management, ensuring regulatory adherence and mitigating legal risks for the firm’s private equity investments and operations.
• Regulatory & Compliance Response: Developed and managed responses to state and federal agencies on compliance and regulatory issues, including investigations related to the Fund. Monitored legal and regulatory.
• Fund Document Review & Updates: Reviewed and revised fund offering documents, and other key documentation.
• Winddown & Liquidation Coordination: Coordinated with outside counsel on the winddown and liquidation of the Funds, ensuring all legal and regulatory requirements were met throughout the process.

• Compliance & Policy Development: Developed, implemented, and managed investment manager compliance and operational policies and procedures for a startup hedge fund ensuring regulatory adherence and operational.
• Fund Document Revisions: Led revisions of Fund offering documents, corporate structures, and partnership agreements for fund launch.
• Compliance Manual & Code of Conduct: Drafted the fund’s Compliance Manual and Code of Professional Conduct, establishing a strong foundation for firm compliance.
• Contract Review & Negotiation: Reviewed and negotiated a range of agreements, including employee/consultant contracts, non-disclosure agreements, and third-party service provider contracts to mitigate legal and.
• Marketing & Investor Communications: Reviewed Fund pitchbook, marketing materials, offering memoranda, and investor communications to ensure compliance with regulatory standards and accurate representation of the.
• ISDA & Prime Brokerage Agreements: Negotiated ISDA (International Swaps and Derivatives Association) agreements and prime brokerage (PB) agreements, ensuring compliance and protecting the firm’s financial interests.

J.D.

Ba