-Co-lead integration efforts for the merger of AlphaSense’s and Tegus’ compliance teams and compliance programs, fostering an inclusive and collectivist culture. -Produce a unified compliance function consisting of 65+ personnel executing the compliance elements of 6,000+ expert calls per month, 6,000+ compliance-reviewed transcripts published per month, and 100+ client due diligence interactions per month.-Participate in global client acquisition and client engagement activities responsible for $100M+ ARR.-Direct talent management of a compliance team consisting of 65+ members.-Create thought leadership materials and conduct industry outreach on insider trading prevention.-Performed key elements of AlphaSense’s post-acquisition compliance due diligence of Tegus when AlphaSense acquired Tegus in June 2024.-Develop, evaluate, improve, and manage internally-built and commercially-purchased technology solutions for expert call automation and AI-enabled surveillance of expert calls and expert transcripts.

-As a founding team member for Stream Research Group, conscientiously led the compliance program for Stream’s expert transcript library and expert call operations through five years of rapid growth and acquisition by AlphaSense.-Participated in client acquisition and client engagement that resulted in ARR growth from $0 to $50M.-Directed talent management of a compliance team which scaled from zero to 21 members, inspiring individual and team growth through idealized influence, inspirational motivation, and transformational leadership.-Created thought leadership materials and conducted industry outreach on insider trading prevention.-Provided transparent communication as point person for AlphaSense’s pre-acquisition regulatory due diligence of Stream when AlphaSense acquired Stream in October 2021.-Developed, evaluated, improved, and managed internally-built and commercially-purchased technology solutions for the automation of 2,000+ expert calls and 2,000+ expert transcripts per month.-Participated in development of the industry’s first-of-its-kind AI-enabled tool for the surveillance of expert calls and expert transcripts.

-Served as IQ-EQ’s practice leader for Outsourced CCO services and Investment Company Act services.-Engaged with prospects and clients, identified needs, negotiated service levels, and assessed client satisfaction.-Performed duties as an outsourced Chief Compliance Officer under Advisers Act Rule 206(4)-7 for clients, including a late-stage private equity manager ($1.1B AUM); a lower to middle market private equity manager ($1.7B AUM); and a systematic futures hedge fund manager ($400M AUM).-Led and coordinated 40+ remote staff across client teams to successfully service the highest-value clients. -Developed policies and procedures to satisfy the Investment Advisers Act of 1940, Investment Company Act of 1940, UK FCA Handbook, EU Market Abuse Regulation, EU General Data Protection Regulation (GDPR), EU Short Selling Regulation, Regulation S-P, FINRA Conduct Rules, EU Markets in Financial Instruments Directive (MiFID), OFAC sanctions programs, Bank Secrecy Act of 1970, and USA PATRIOT Act of 2001.-Gathered data, completed needs analyses, identified solutions, and communicated recommendations to clients.-Managed SEC regulatory examinations and authored replies for clients in response to SEC findings.-Trained clients’ stakeholders via live or remote sessions using synchronous and asynchronous tools.

-Performed business development activities resulting in ARR growth from $0 to $1M+.-Engaged with prospects and clients, identified needs, negotiated service levels, and assessed client satisfaction.-Performed duties as an outsourced Chief Compliance Officer under Advisers Act Rule 206(4)-7.-Served as a founding team member and outsourced Chief Compliance Officer for Stream Research Group, an industry leading expert transcript library that was purchased by AlphaSense in October 2021.-Recruited, hired, and retained staff; implemented performance measurement and feedback systems. -Developed policies and procedures to satisfy the Investment Advisers Act of 1940, Investment Company Act of 1940, UK FCA Handbook, EU Market Abuse Regulation, EU General Data Protection Regulation (GDPR), EU Short Selling Regulation, Regulation S-P, FINRA Conduct Rules, EU Markets in Financial Instruments Directive (MiFID), OFAC sanctions programs, Bank Secrecy Act of 1970, and USA PATRIOT Act of 2001.-Gathered data, completed needs analyses, identified solutions, and communicated recommendations to clients.-Managed SEC regulatory examinations and authored replies for clients in response to SEC findings.-Trained clients’ stakeholders via live or remote sessions using synchronous and asynchronous tools.

-Managed comprehensive regulatory compliance program across domestic and foreign jurisdictions covering portfolio management, trading activities, financial crimes, anti-money laundering, prudential requirements, privacy, information security, insider trading, marketing and investor communications, and record-keeping.-Developed policies and procedures to address the requirements of a multitude of regulatory frameworks including the Investment Advisers Act of 1940, Investment Company Act of 1940, UK FCA Handbook, EU Market Abuse Regulation, EU GDPR, EU Short Selling Regulation, Regulation S-P, Employee Retirement Income Security Act of 1974, FINRA Conduct Rules, Securities Act of 1933, Securities Exchange Act of 1934, EU MiFID, OFAC sanctions, Bank Secrecy Act of 1970, and USA PATRIOT Act of 2001.-Fulfilled UK FCA functions for compliance oversight (CF10) and money laundering reporting (CF11). -Executed global long and short position filings or limits for $12+ billion equity, credit, and commodity AUM.-Completed domestic and international investment adviser registration or exemption filings; investment fund marketing or sales exemptions; and commercial business licensing using automated and manual processes.-Managed SEC and FCA regulatory examinations and developed responses to regulatory requests or findings.-Collaborated with all business functions, including legal and fund administration, to achieve compliance goals.-Created annual compliance budgets, allocated resources, and managed external compliance service providers. -Evaluated vendors, communicated observations, and recommended corrective action internally and externally.

-Served as liaison with regulatory agencies, investigative agencies, and counsel. -Participated in litigation defense activities, fact-finding, witness interviews, evidence preservation, and discovery management.

-Led the development and implementation of comprehensive compliance policies and procedures for the Investment Advisers Act of 1940; the Investment Company Act of 1940; Canadian fund manager regulations; Australian fund manager regulations; relevant aspects of the Employee Retirement Income Security Act of 1974; US sanctions programs; and US anti-money laundering regulations.-Managed automated pre-trade and post-trade compliance systems for US and international equity trading across separately managed accounts, mutual funds, and government plans comprising $12B+ AUM.-Administered governance functions and organized governance committees. -Collaborated with business stakeholders to achieve compliance objectives and mitigate risks. -Assessed vendors' compliance controls and provided feedback and recommendations.-Executed annual compliance program testing activities pursuant to Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the Investment Company Act.-Represented the firm in investor due diligence meetings and regulatory examinations.

-Collaborated with 20+ geographically dispersed staff to successfully lead 24+ client service teams.-Performed and directed 100+ mock SEC examinations and annual compliance program reviews under Advisers Act Rule 206(4)-7 for hedge fund managers, private equity fund managers, credit fund and CLO managers, real estate managers, and traditional registered investment advisers as well as Investment Company Act Rule 38a-1 for mutual funds, exchange traded funds, and business development companies.-Scoped projects based on client requirements; proposed fees and timing; and monitored time and expenses.-Developed policies and procedures to address regulatory requirements based on clients’ business activities.-Documented compliance risk assessments, control inventories, and narrative materials to support findings.-Authored responses and action plans for clients in response to findings from regulatory examinations.

-Accomplished 75+ compliance examinations under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 by reviewing and analyzing the books, records, and activities of investment companies, investment advisers, and transfer agents to determine compliance with Federal Securities Law.-Interviewed corporate officials, compliance staff, attorneys, portfolio management, trading staff, finance and accounting staff, and other securities industry participants regarding registrant operations and transactions.-Communicated findings and recommended corrective action to be taken with supervisors and registrants.

-Performed detailed examinations of revenues, expenses, liabilities, assets, and equity required under Generally Accepted Auditing Standards, Federal Securities Law, and AICPA attestation standards.-Accumulated evidence and communicated audit findings with supervisors, partners, and clients.