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.

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..

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.

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