Robin Freeman Email & Phone Number

Chicago, Illinois, United States

Chief Compliance Officer (CCO) at LaSalle Investment Management Distributors, a SEC registered Broker-Dealer and member of FINRA. As CCO, I am responsible for running the end-to-end compliance program, including the implementation of written compliance policies and written supervisory procedures, oversight of firm training, branch office review programs, as well as review of private fund and public non-traded REIT marketing materials. Provide guidance regarding the solicitation activities for private funds and wholesaling activities with participating broker-dealers and RIAs in connection with the ongoing offering of a public offering. Partner with LIMD business leaders to provide direction on compliance related matters relating to develop new policies and procedures that apply to new regulations, business initiatives, or modifications to current business activities. Participate with global organization while participating in working groups to implement new technology to enhance workflows and systems.

Chicago, Il

Chicago, Il

As the Assistant Chief Compliance Officer and Chief Information Security, I was responsible for day to day investment advisory compliance initiatives and oversight of Commodity Trading Advisor (“CTA”) compliance programs, including risk evaluation, design and enhance written policies and procedures, licensing, ongoing reviews of program, production and delivery of written annual assessment and review of cybersecurity program. Provided advice and guidance on sales-related activities, sales literature, external communications and service provider oversight. Identified and analyzed complex regulatory issues, their effects on the firm, and assist in the implementation of new regulatory requirements. Created and maintains quantifiable and actionable risk assessments designed to identify and measure risk associated with compliance of various laws and regulations.

Greater Chicago Area

Vice President, Compliance Manager (2000 - 2012)Responsible for oversight of the Broker-Dealer and Commodity Pool Operator and Commodity Trading Advisor (“CPO/CTA”) compliance programs, including risk evaluation, enhancement of written policies and procedures, licensing and branch office exam program, management of annual testing program, production and delivery of written annual assessment, and regulatory exams. Provided advice and guidance on new product development, sales-related activities, external communications, operational issues, privacy and money-laundering issues. Developed and conducted firm wide training for Privacy, Electronic Resources and Anti-Money Laundering, and Annual Compliance Meeting for Registered Representatives.Paralegal (1995 -2000)Prepared corporate documentation, including company’s Annual 10-K filings, Proxy Statement and Section 16 filings with SEC, Board of Directors minutes and other related corporate documents. Reviewed and filed with FINRA Regulation investment company advertising for compliance with FINRA and SEC advertising guidelines. Registered and maintained affiliated investment advisers and registration of investment adviser representatives.

Responsible for research of federal and state securities issues under Regulation D and ULOE for preparation of blue sky surveys and federal and state filings in connection with private placements. Assisted in preparation and filing of registration statements and regulatory documents with SEC and states, including all matters related to the registration and/or qualification of initial public offerings, shelf offerings, 401K plans, municipal bond offerings and hedge funds. Drafted organizational documents and maintained annual corporate records and filings. Participated in mock regulatory examinations and reviewed due diligence materials for mergers and acquisitions.

Bachelor Of Science (B.S.), Political Science And Government

Paralegal Certificate, International Trade Law And Business