Easterly Asset Management is an independent investment management firm located in Beverly, MA that provides active investment management. Easterly Investment Partners LLC is an independent RIA with a broker/dealer affiliation.• Develop, implement, and enforce compliance policies and procedures ensuring policies and procedures are always up to date with current, new or amended laws and regulations; lead programs including annual firm compliance reviews and employee compliance training programs.• In collaboration with the firm's General Counsel, be the main point of contact for compliance and regulatory inquiries for the investment adviser.• Collaborate with the firm’s partners and management team to find strategies to improve the company’s performance• Provide primary oversight and supervision of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act, to prevent violation by the firm and its employees.• Coordinate with the firm’s IT staff to oversee and monitor the effectiveness of cyber-fraud defensive measures.• Annually file and amend the firm's Form ADV to ensure compliance with SEC filing requirements• Work closely with the broker/dealer CCO.• Manage investment compliance program within LiquidityBook.• Responsible for licensing of the IAR’s for securities in most states

• Provide investment advisor firms with guidance on new and existing rules and regulations to help reduce risk, facilitate compliance and keep pace with the financial regulatory landscape.• Enable opportunities for investment advisory cross border marketing and distribution by evaluating local rules and regulations, as well as accepted market practice, to facilitate business expansion.• Identify and implement non-tech and tech-enabled solutions and risk mitigation strategies to enhance compliance automation and help realize cost efficiencies.

Midas advances the financial security of low and moderate income Massachusetts residents in collaboration with member organizations and partners by designing and providing administration of matched savings programs. We provide tools, services, and training to assist organizations and public officials to create more prosperous communities. www.Midascollab.org

Led the Manulife Investment Management Global Distribution Compliance Center of Expertise, which provides advice and guidance to business partners regarding the applicability of jurisdictional rules and regulatory requirements, internal policy, guidelines and disclosure standards, and other risk related issues pertaining to the firm's marketing and distribution efforts including digital initiatives such as social media, website functionality and content development and other applications.

• Responsible for management and coordination of global sales and marketing review program for direct and sub-advised institutional asset management company to ensure adviser compliance with applicable global regulatory advertising requirements.• Responsible for the implementation of a global advertising review system and installation in 14 locations across the adviser’s global business.

• Managed advertising review program to ensure compliance with requirements of the Investment Advisers Act of 1940 and Department of Labor ERISA regulations• Responsible to oversee firm’s privacy program under Reg S-P • Developed and executed firm’s forensic testing in accordance with Adviser’s Act Rule 206(4)-7 • Responsible for adviser compliance policies and procedures, including those impacting advertising, social media, business continuity, records management, pay to play and vendor oversight

- Supported IPI Board: attendance at Board meetings, participation in Committee meetings, development of agenda and supporting materials- Provided advocacy for IPI by promoting the organization's mission and vision - Assisted the Board in carrying out its fiduciary responsibilities, such as reviewing the organization's annual financial statements, engagement in the budget process and following up on actions assigned to council members

Responsible for the management of two teams: • Sales Material & Advertising Review: management of 3 reviewers and oversight of review process for all print and electronic sales and advertising material for 52 agencies with 1,900 representatives nationwide; Developed and executed the firm’s social media compliance strategy at the corporate and agency levels • Market Conduct Examination: management of 4 examiners and oversight of Office of Supervisory Jurisdiction (OSJ) and branch examination program of 40+ independent agencies nationwide requiring ongoing collaboration with Supervision team to assess findings and refer matters for review and/or sanction; Responsible to develop and monitor the firm’s compliance oversight program under FINRA Rule 3012 and SEC Rule 206(4)-7 • Advised business on compliance matters relating to the release of new products and services including the development and implementation of an online retirement planning tool.

• Managed vendor operational risk oversight program including risk assessments of FMRCo’s critical vendors• Created and maintained central vendor database containing all critical vendor assessment data and key control information • Developed and executed delivery of risk training program for portfolio managers and research analysts

• Developed and implemented an advertising compliance review program for broker/dealer and investment adviser sales and marketing materials. • Responsible for completion of application and filing Form BD for Pyramis Distributors Corp., a newly created broker/dealer for private placement distribution; key activities included development of business plan, Written Supervisory and Control Procedures Manuals • Developed and implemented the firm’s Annual Firm Element Compliance training program

• Managed broker/dealer compliance program, including registration & licensing of registered representatives, delivery of Annual Compliance Meeting training and oversight of rep compliance with firm’s gift and entertainment reporting policies.