Accomplished compliance professional working in the financial services industry for over twenty-five years with a strong background in investment adviser, investment company and broker dealer regulatory compliance. Received IACCP® certification in December 2019. Main focus is Investment Advisers Act and Investment Company Act compliance. Consultant to private equity, private funds, institutional, retail and international based registered investment advisers. Provide on site and remote SEC audit support, develop and implement compliance testing programs, write annual reports of compliance, draft and file SEC required disclosure documents including Forms ADV Part 1, Part 2A, Part 3 (Form CRS), and Form PF. Regular contributor to Hardin Compliance Regulatory Updates monthly publication. Management experience in a variety of different financial service business lines including, asset management, private funds, bank broker dealer, and independent adviser broker dealer/RIA firms. Prior to joining Hardin Compliance Consulting, LLC in June of 2015, was acting Chief Compliance Officer for FTJ FundChoice, LLC, an SEC Registered Investment Adviser, responsible for implementing the compliance and risk program. Previous to Hardin spent four years as Director of Compliance at Capital Analysts Incorporated ("CAI") managing the investment adviser compliance program including maintaining the compliance manual, updating policies and procedures, updating Form ADV, testing and on site audits, development of surveillance reports, marketing and advertising review, licensing and registration, and acted as the compliance subject matter expert on firm wide projects including custodial and commission system conversions. Also, served as Vice President and Compliance Manager at NatCity Investments, a bank broker dealer subsidiary of National City Bank in Cleveland, OH.