Nathaniel M. Email & Phone Number

Medford, Ma, Us

Shelton, Ct

Shelton, Ct

Guilford, Connecticut, United States

• Led the development of the compliance program by defining processes and procedures, identifying gaps, and reporting mitigating strategies to senior management• Executed the quarterly random fee study to verify advisor fee deduction was aligned with investment management agreements • Collaborated with CCO in updating ADV part 2 and ADV part 3 brochure, and investment management agreements • Performed special research projects as requested by Senior Advisor, such as investigating rules, laws, and government policy to hold firm to standards of governance imposed by regulatory bodies and government agencies

Waterbury Conneticut

• Assisted with preparation for trials, hearings, and depositions; attended client meetings; assisted constituents; attended trials, hearings, arguments, and depositions• Created case, deposition, and contract summaries; collected evidence and information to support legal claims• Partook in the outcome of the annual budget report by helping develop a financial strategy for various legal departments