Mark G. Hadlock Email & Phone Number

My primary role was to function as a subject matter expert on the laws, policies and regulations of the Securities and Exchange Commission, the Commodity & Futures Commission, the European Securities Markets Authority and the United Kingdom’s Financial Conduct Authority. Daily duties included providing guidance on various types of regulatory filings to a global client base. With the implementation of the Alternative Investment Fund Manager Directive (AIFMD), I led the development effort of new products and services such as AIFMD transparency reporting and depositary-lite services.

New York, Ny

Outsourced Chief Operating and Chief Compliance Officer – Tasked to launch two emerging investment advisers, a long-short diversified healthcare fund and a multi-strategy volatility fund. Directly responsible for the set-up and initial management of the administrative, human resources, operational, investor relations, trading and compliance functions. Other duties included: advising and creating the investment manager and fund entities handling all of the federal and state registrations and product offering documents; assisted in the creation of company branding for marketing materials, creating pitch books, due diligence questionnaires and firm summaries in order to present and market to institutional clients; negotiated many of the service provider contracts (third party marketers, real estate and IT) and prime brokerage and ISDA agreements. In addition, set up and managed the asset raising activities and investor relations communications. Performed the initial compliance risk assessment for both firms, wrote their compliance and employment manuals and conducted compliance and HR training for all employees. Served as a senior adviser in the investor operational due diligence meetings, and served as a board member of offshore and master fund entities.

Registered investment adviser managing over $5 billion in assets. Diamondback supported a 24/7 trading desk with over 220 employees and 50 portfolio managers, maintaining three locations in two states. Responsibilities included managing all of the firm’s compliance activities from the initial registration process with the SEC, development of all policies and procedures to support multiple trading strategies, employee training, forensic testing, enforcement of all policies and procedures and trading activity analysis. Secretary of Diamondback Capital Management and its affiliates, member of the valuation, compliance, risk, ethics, and business resiliency committees. Assisted in the day-to-day compliance tasks while managing a dedicated compliance staff and collaborating closely with the firm's in-house legal department.

Chief Administrative Officer and Chief Compliance Officer for C.E. Unterberg, Towbin Advisors, LP, a wholly owned subsidiary of C.E. Unterberg, Towbin, Inc.