David Guy Email and Phone Number
David Guy work email
- Valid
David Guy personal email
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- Twenty year’s financial service industry compliance, operations, and business process experience;- Comprehensive understanding of securities laws applicable to registered investment advisers andinvestment companies, including the Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“Company Act”);- Experienced multiple SEC Exams working for registrants, and in a consulting capacity;- Experience with multiple asset classes, including equity, bonds, cryptocurrency and alternatives (hedge funds and private equity); and structures, including ‘40 Act Funds, 3(c)(1) and 3(c)(7) private funds, and 3(c)(11) trusts;- Expertise includes: (i) developing and implementing compliance program policies, procedures andinternal controls; (ii) testing compliance programs, including mock SEC examinations, and assessing investment advisers’ compliance with the Adviser Act Rule 206(4)-7 and investment companies’ compliance with the Company Act Rule 38a-1; (iii) developing and maintaining risk registers; (iv) performing sub-adviser due diligence on traditional asset manager as well as alternative managers (hedge funds and private equity firms); and (v) BSA/AML program development.- Experience working on regulatory matters relating to bitcoin and cryptocurrencies, as well as regulatory matters with portfolio companies in the crypto space.- Recipient of a M.B.A., specializing in Investments and International Business.
Devonshire Investors
View- Website:
- drayage.com
- Employees:
- 34
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Vp, Compliance And Chief Compliance OfficerDevonshire InvestorsBoston, Ma, Us -
Vp, Compliance & Chief Compliance OfficerDevonshire Investors Apr 2017 - PresentDevonshire Investors is the private equity and venture capital arm of FMR LLC, the parent company of Fidelity Investments. I am the Chief Compliance Officer for the registered investment adviser. -
Compliance Consultant, Alternative StrategiesWells Fargo Dec 2015 - Apr 2017San Francisco, California, Us- Performed compliance and operational due diligence on affiliated and non-affiliated alternative managers (hedge funds) for the firms '40 Act alternative strategies fund. This includes onsite visits, and daily, monthly, and quarterly reporting and communications;- Responsible for managing the firms registration and compliance with the Commodity Futures Trading Commission ("CFTC"), and the Commodity Futures Trading Commission ("NFA") membership. Ensure compliance with Commodity Pool Operator ("CPO") rules and regulations established by the CFTC and NFA, including ensuring the firm has in place an adequate CPO compliance manual and filings are completed on a timely basis;- Assisted in the establishment of a Cayman Island subsidiary; and - Serve as a relationship and compliance manager of an acquired alternative asset manager. -
Prinicipal, Senior Compliance Manager - Investments (North America)Mercer Nov 2011 - Nov 2015New York, Ny, Us- Responsible for ensuring Mercer’s registered investment company (Mercer Funds) and investment advisers (Mercer Investment Management, Inc. and Mercer Investment Consulting, Inc.) are compliant with Rules 38a-1 and 206(4)-7, respectively, including the maintenance and development of adequate policies and procedures;- Responsible for overseeing compliance for the following asset classes: US and Non-US equity and bonds, and US and Cayman Island domiciled hedge funds and private equity funds;- Report to the Mercer Funds Board of Trustees, at in person meetings on a quarterly basis, any material matters relevant to the Mercer compliance program and/or sub-advisers compliance programs;- Perform annual assessment and draft written reports for both registrants and the Mercer Funds;- Draft and file regulatory filings, including Form ADV Part 1 and 2A, Form PF, and Form 13F;- Monitor daily guideline compliance for pooled vehicles in the US and Canada;- Perform risk assessments of the registrants and Investment Company, including the analysis andimplementation, in conjunction with Legal counsel, of any regulatory updates impacting the business;- Perform on-site due diligence visits with approximately 30 sub-advisers annually, and track, monitor and regularly interact with Mercer’s over 200+ sub-advisers globally;- Oversee and perform marketing and sales reviews for North America;- Involved in three routine SEC Exams, and was the point person for gathering of documents from all the Mercer business functions and formulating written responses to SEC inquiries;- Non-voting member of the Manager Selection Committee; - A voting member of the Hedge Fund Valuation Committee; and- Report directly to the Global CCO of Mercer Investments. -
Risk / Compliance OfficerDwight Asset Management May 2010 - Oct 2011
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Executive Board Member - Co-Communications DirectorAcams Greater Boston Chapter Jun 2010 - Jun 2011
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Managing Consultant, Investment Management - Regulatory ComplianceNavigant Consulting, Inc Feb 2006 - May 2010Chicago, Il, Us -
Financial Reporting And Compliance, And Fund AccoutingInvestors Bank & Trust Co Jun 2002 - Jan 2006Boston, Us
David Guy Education Details
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D'Amore-Mckim School Of Business At Northeastern UniversityInvestments And International Business -
EdxBitcoin And Cryptocurrencies -
Bryant UniversityComputer Info Systems; Minor - Statistics
Frequently Asked Questions about David Guy
What company does David Guy work for?
David Guy works for Devonshire Investors
What is David Guy's role at the current company?
David Guy's current role is VP, Compliance and Chief Compliance Officer.
What is David Guy's email address?
David Guy's email address is da****@****ail.com
What schools did David Guy attend?
David Guy attended D'amore-Mckim School Of Business At Northeastern University, Edx, Bryant University.
Who are David Guy's colleagues?
David Guy's colleagues are Diane Ippolito, Lucylenia Ramos, Michael Tareteta, Parker Lattin.
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