Thomas Fuccillo Email & Phone Number

United States

Chief Legal Officer of Aristotle Investment Services, LLC and Chief Legal Officer and Chief Compliance Officer of the Aristotle Funds Complex.

New York, New York

Practice focuses on representing open- and closed-end registered investment companies, investment advisers, broker-dealers and fund directors on a wide variety of matters around the life cycle of fund products, including regulatory, transactional, compliance and new product development.Possess extensive experience in the operations of fund sponsors' legal, compliance, administration and product management teams and have spent years advising senior management of these firms on regulatory, litigation and board relations matters.* Led a global asset manager’s relationship with its fund boards, with responsibility for the agenda content and execution of meetings.* Managed the successful consolidation of fund boards.* Led efforts to improve board meeting process and quality of materials to stay ahead of the curve on best practices.* Managed teams of attorneys and paralegals with responsibility for SEC and NYSE filings for registered funds.* Led compliance for a global asset manager covering all lines of business across multiple offices nationally.

New York, New York

Managed relationship with the fund board, outside fund and independent director counsel on all matters relating to administration, operation and distribution of registered funds, with focus on maintaining the relationship with board and committee chairs. Acted as senior liaison between Investments, Distribution and Product, specifically as related to product strategy in registered fund space, to drive greater alignment of teams to maximize effectiveness. Managed and oversaw delivery of services of Legal, Compliance, Fund Administration, Fund Operations, Product, Finance, and other core groups in connection with fund business (64 open- and closed-end funds, ~$24 billion AUM; 24 unregistered funds, ~$11 billion AUM).• Advocated on behalf of firm with policymakers and regulators on topics of key importance to AllianzGI.• Focused product and investment teams on Active ETF space and ideas to package firm’s illiquid and less liquid alternative strategies in wrappers, like interval/tender offer funds, listed closed-end funds, and other vehicles. • Facilitated effort to consider broader recasting of AllianzGI Funds to focus on ESG/SRI, playing to firm’s strengths and best value proposition to marketplace. • Led board through transition to new chair and independent counsel. • Managed relationship with board chair on behalf of the firm, smoothing path to achieve management’s desired results with high degree of buy-in by full board. • Provided regular feedback to board’s search committee on upcoming trustee retirement and recruitment matters in effort to shape outcomes favorable to AllianzGI. • Led efforts to improve board meeting process and quality of materials to stay ahead of the curve on best practices.

New York, New York

Chief Legal Officer, Allianz Global Investors Distributors LLC 2013-2019Chief Legal Officer, Allianz Global Investors Fund Management LLC (Funds’ Investment Manager and Administrator) 2008-2016Managed team of attorneys, paralegals, and assistants supporting the fund business, separately managed accounts, 529 plans, collective trust funds, and related distribution, including PIMCO closed-end funds through September 2014. Oversaw litigation against funds and investment advisor and provided advice and counsel to business on SEC and FINRA exams. Managed successful consolidation of two fund boards as part of senior leadership team.• Served as Chief Regulatory Counsel and founded the Regulatory Developments Council, comprised of senior leaders in Operations, Fund Administration, Risk, Legal and Compliance, with responsibility for managing firm’s response to and implementation of new regulatory requirements emanating from regulators in U.S. and abroad.• Supervised and oversaw production of board materials for two distinct fund boards and attended all meetings with overall responsibility for agenda.• Led project and advised senior management through major legal entity consolidation and management restructuring.

New York, New York

Devised and executed on extensive restructuring of Legal and Compliance Department and served as senior member of leadership team, with broad responsibilities for management, performance optimization, and budgeting. • Ran U.S. compliance with responsibility for ~50 professionals (CCOs and staff) covering fund management, advisory, and distribution activities across five offices nationally.

New York, New York

Served as Principal 1940 Act attorney attending to legal matters for Neuberger’s open- and closed-end funds, providing advice and counsel to important stakeholders, from senior management to portfolio management, on range of topics, from product development, litigation, and regulatory developments to use of derivatives in funds. Worked on internal M&A teams and liaised with outside counsel in connection with key lift-outs and acquisitions (Oscar Capital, Lipper & Co., LibertyView Capital Management) and acquisition of Neuberger Berman by Lehman Brothers in 2003. Performed work on Neuberger Berman’s proxy statement and reviewed marketing materials.

Education record

Completed the Executive Education program.

Doctor Of Law - Jd, Law, Deans List

Activities and Societies: SJU Law Academic Achievement Scholarship, Columbian Lawyers’ Association Scholarship, U.S. Attorney's Office.

Bachelor Of Arts - Ba, Political Science, Deans List

Activities and Societies: Certificate of Management Studies in Marketing, University Scholarship