David Guy

David Guy Email and Phone Number

VP, Compliance and Chief Compliance Officer @ Devonshire Investors
Boston, MA, US
David Guy's Location
Boston, Massachusetts, United States, United States
David Guy's Contact Details

David Guy work email

David Guy personal email

About David Guy

- 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.

David Guy's Current Company Details
Devonshire Investors

Devonshire Investors

View
VP, Compliance and Chief Compliance Officer
Boston, MA, US
Website:
drayage.com
Employees:
34
David Guy Work Experience Details
  • Devonshire Investors
    Vp, Compliance And Chief Compliance Officer
    Devonshire Investors
    Boston, Ma, Us
  • Devonshire Investors
    Vp, Compliance & Chief Compliance Officer
    Devonshire Investors Apr 2017 - Present
    Devonshire 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.
  • Wells Fargo
    Compliance Consultant, Alternative Strategies
    Wells Fargo Dec 2015 - Apr 2017
    San 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.
  • Mercer
    Prinicipal, Senior Compliance Manager - Investments (North America)
    Mercer Nov 2011 - Nov 2015
    New 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.
  • Dwight Asset Management
    Risk / Compliance Officer
    Dwight Asset Management May 2010 - Oct 2011
  • Acams Greater Boston Chapter
    Executive Board Member - Co-Communications Director
    Acams Greater Boston Chapter Jun 2010 - Jun 2011
  • Navigant Consulting, Inc
    Managing Consultant, Investment Management - Regulatory Compliance
    Navigant Consulting, Inc Feb 2006 - May 2010
    Chicago, Il, Us
  • Investors Bank & Trust Co
    Financial Reporting And Compliance, And Fund Accouting
    Investors Bank & Trust Co Jun 2002 - Jan 2006
    Boston, Us

David Guy Education Details

  • D'Amore-Mckim School Of Business At Northeastern University
    D'Amore-Mckim School Of Business At Northeastern University
    Investments And International Business
  • Edx
    Edx
    Bitcoin And Cryptocurrencies
  • Bryant University
    Bryant University
    Computer 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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