Joseph Tropeano Email & Phone Number

United States

Independent Compliance Consultant providing expertise to other consultants, investment advisers, investment companies, private funds, and broker dealers. Assists clients in the development, implementation, and maintenance of compliance programs to achieve compliance objectives.• Provides registration, authorization, and filing services.• Assists in the development and enhancement of Compliance Programs.• Conducts reviews, mock exams, and gap analysis of Compliance Programs.• Offers SEC inspection support services.• Provides outsourced managed services such as electronic communication reviews, marketing and advertising reviews, expert network chaperoning, and regulatory filings.• Conducts compliance training and education.• Offers Outsourced Chief Compliance Officer services.

United States

Reported directly to the Chief Executive Officer and was responsible for the operations and compliance programs for SpringOwl's investment management and SPAC sponsorship businesses.• Developed, implemented, and reviewed the adequacy of compliance policies and procedures for the investment advisory business of the Firm.• Responsible for Firm trading with Prime Brokers and the allocation of trades.• Coordinated the Firm's soft dollar program, business continuity plan, and code of ethics.• Monitored the Firm's third-party vendors, including due diligence and invoices.• Served as the primary contact for regulatory examinations and inquiries relating to the Firm's investment management business. • Conducted compliance training for all members of the Firm.• Worked closely with the CFO on reconciling trades, end of month reporting, and client invoices.• Worked with the CFO on SPAC Board of Directors issues, including preparation of meeting agenda, communications to the BOD, meeting minutes, and distribution of meeting materials.

Jersey City, New Jersey

Responsible for Asset Management trade monitoring and surveillance for the Firm's Asset Management Division.• Provided advice on regulatory issues and ensured compliance with investment mandates and internal policies and procedures.• Monitored client guidelines, asset allocations, trade errors, and cross trades for Investment Grade, High Yield, ABS, CMBS, RMBS, Equity, and Multi-Asset Solutions portfolio managers.• Evaluated surveillance alerts and supervised the resolution of any issues or improper trading.• Monitored performance attribution for potential manipulative trading scenarios, adherence with client guidelines, and for comparison against model delivery and sponsor programs.• Provided compliance advice regarding new issues and secondary offering allocations to the portfolio trading teams. Researched prospectus for ERISA eligibility for CMBS/RMBS business and assessed conflicts within the Firm and its affiliates based on Use of Proceeds, and syndicate involvement.• Participated in the Firm's Trade Practices Oversight Committee and updated the committee on any compliance trading matters.• Assisted with the preparation of compliance training materials for the Asset Management business. Assisted with completion of regulatory forms including form ADV and 23B.• Monitored the receipt and handling of MNPI.• Handled wall cross, go private, ring-fence requests and monitored the NDA process from a compliance standpoint. • Provided guidance to portfolio managers on conflict-of-interest issues relating to public and private companies as well as other due diligence issues.• Maintained a list of mutual fund affiliates and circulated the list monthly to the relevant areas of the Firm.

Greater New York City Area

• Managed and directed the broker-dealer compliance program for the Firm's mutual fund distribution business.• Established, maintained, and enforced written supervisory control policies and procedures for the broker dealer.• Conducted tests of the Firm's system of supervisory controls, identified significant exceptions, and created or amended procedures in response to such testing.• Prepared an annual report for senior management, detailing the Firm's system of supervisory controls. Reviewed and updated Form BD as necessary or as required.• Served as primary contact for regulatory examinations and inquiries related to the Firm's broker-dealer business. Conducted employee training and was responsible for the Annual Compliance Meeting for the Firm's associated persons. Monitored the securities transactions of all registered personnel for insider trading and other conflicts of interest.• Reviewed and approved advertising and sales literature relating to the Firm's mutual fund business.-

Greater New York City Area

Reported directly to the Chief Compliance Officer/ General Counsel and assisted in the management of the compliance program for First Eagle's investment management business.• Developed and implemented compliance policies and procedures for the investment advisory and investment company businesses of the Firm.• Coordinated, prepared, and conducted quarterly meetings for the Firm's Trade Management Oversight Committee, which included: broker-dealer allocations and commission analysis; best execution; soft-dollar and commission sharing arrangements; directed brokerage; broker report cards; and all other aspects of the Firm's trading processes.• Served as a member and was responsible for conducting quarterly meetings of the Firm's Compliance Committee, including client complaints; gifts and entertainment; trading and pricing errors; code of ethics violations; investment guideline breaches; broker-dealer review; and any other compliance issues affecting the Firm.• Monitored client guidelines and restrictions through Charles River system, resolved any issues arising from alerts or warnings generated through the system.• Monitored and resolved any trade errors created by the various trading departments of the Firm. • Monitored the Firm's gift and entertainment activities for any ERISA issues, Union reporting, or other conflicts of interest.• Served as the primary contact for regulatory examinations and inquiries relating to the Firm's investment management business.• Conducted annual and ad hoc compliance training for all employees of the Firm.• Reviewed and approved advertising, presentation documents, RFPs, and other marketing materials used by the Firm.• Reviewed the adequacy of the Firm's compliance program and policies and procedures and prepared a report of findings to senior management.

Greater New York City Area

Managed the compliance program for all of Hyperion's investment management businesses.• Managed and oversaw compliance of two SEC registered investment advisers, several closed-end mutual funds, and other affiliated investment management businesses.• Served as Corporate Secretary for all Hyperion entities and was responsible for minutes, written consents, stock certificates, legal filings, and other corporate records.• Served as Secretary and Compliance Officer of the Hyperion Funds and was responsible for all written communications with the Board of Directors, including Board meetings, Audit Committee meetings, written consents, and other Board presentation materials.• Monitored all compliance policies and procedures concerning personal securities transactions, client transactions, trade allocations, e-mail, and other areas with the potential for conflicts of interest.• Reviewed and updated Form ADV filings, CFTC and NFA filings, NSARS, Proxy Statements, Annual and Semi-Annual Reports, NYSE filings and all other federal and state regulatory filings.• Coordinated regulatory examinations and inquiries related to investment management businesses.• Conducted compliance training for asset management personnel.• Conducted due diligence compliance reviews of sub-advisers and third-party service providers' compliance programs.• Reviewed and approved all advertising, presentation materials, and RFPs used by marketing personnel.• Assisted with the organization and start-up of an investment management firm specializing in commercial mortgage-backed securities.• Developed and implemented compliance policies and procedures, compliance manual, and client manual.• Reviewed the adequacy of the Hyperion Funds' policies and procedures, the compliance program for the Funds' service providers, and prepared findings for the Board of Directors.