Senior Compliance Advisor
Current
Jan 2024 - Present
AeroLeads people directory · profile
Thomas J. Smith Email & Phone Number
Regulatory Compliance Senior Advisor
at
5C Investment Partners
1 work email found
@aresmgmt.com
3 phones found area 212 and 213
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Regulatory Compliance Senior Advisor
Location
New York, New York, United States
Company size
Who is Thomas J. Smith? Overview
A concise factual answer block for searchers comparing this professional profile.
Quick answer
Thomas J. Smith is listed as Regulatory Compliance Senior Advisor at 5C Investment Partners, a company with 26 employees, based in New York, New York, United States. AeroLeads shows a work email signal at aresmgmt.com, phone signal with area code 212, 213, and a matched LinkedIn profile for Thomas J. Smith.
Thomas J. Smith previously worked as Senior Compliance Advisor at 5C Investment Partners and Senior Compliance Advisor at Assetmark. Thomas J. Smith holds Bs, Accounting/Economics from St. John'S University.
Company email context
Email format at 5C Investment Partners
This section adds company-level context without repeating Thomas J. Smith's masked contact details.
{first_initial}{last}@aresmgmt.com
86% confidence
AeroLeads found 1 current-domain work email signal for Thomas J. Smith. Compare company email patterns before reaching out.
Profile bio
About Thomas J. Smith
Investment management compliance executive with 30+ years of global experience as a CCO for multiple SEC registered investment advisers and FINRA registered broker-dealers.
Listed skills include Investment Management, Equities, Fixed Income, Hedge Funds, and 8 others.
Current workplace
Thomas J. Smith's current company
Company context helps verify the profile and gives searchers a useful next step.
5C Investment Partners
8 roles
Thomas J. Smith work experience
A career timeline built from the work history available for this profile.
Senior Compliance Advisor
Oct 2022 - Dec 2023
Private Equity Advisor
Aug 2017 - Jan 2023
Member Of The Board Of Advisors
Sep 2018 - Aug 2020
Senior Advisor
As former Chief Compliance Officer for Oaktree Capital Management and JP Morgan Chase & Company's Investment Management and Private Banking businesses, Tom provides advice and leadership development consulting services to public and private firms seeking assistance with their Compliance organization structure, assessing existing staff skills and gaps in.
Apr 2017 - Dec 2018
Managing Director And Chief Compliance Officer
Manage all Regulatory Compliance matters for Oaktree's global investment management business.
Jun 2010 - Mar 2016
Managing Director - Chief Compliance Officer
Managed alll Regulatory Compliance matters for JP Morgan's Global Wealth Management and US Investment Management businesses.
Jun 1985 - Apr 2010
Managing Director - Chief Compliance Officer - Investment & Wealth Management
Head of Americas Compliance for JP Morgan Asset Management
Jun 1985 - Apr 2010
1 education record
Thomas J. Smith education
FAQ
Frequently asked questions about Thomas J. Smith
Quick answers generated from the profile data available on this page.
What company does Thomas J. Smith work for?
Thomas J. Smith works for 5C Investment Partners.
What is Thomas J. Smith's role at 5C Investment Partners?
Thomas J. Smith is listed as Regulatory Compliance Senior Advisor at 5C Investment Partners.
What is Thomas J. Smith's email address?
AeroLeads has found 1 work email signal at @aresmgmt.com for Thomas J. Smith at 5C Investment Partners.
What is Thomas J. Smith's phone number?
AeroLeads has found 3 phone signal(s) with area code 212, 213 for Thomas J. Smith at 5C Investment Partners.
Where is Thomas J. Smith based?
Thomas J. Smith is based in New York, New York, United States while working with 5C Investment Partners.
What companies has Thomas J. Smith worked for?
Thomas J. Smith has worked for 5C Investment Partners, Assetmark, Ares Management Corporation, 17Th Street Advisors, and Barkergilmore Llc.
How can I contact Thomas J. Smith?
You can use AeroLeads to view verified contact signals for Thomas J. Smith at 5C Investment Partners, including work email, phone, and LinkedIn data when available.
What schools did Thomas J. Smith attend?
Thomas J. Smith holds Bs, Accounting/Economics from St. John'S University.
What skills is Thomas J. Smith known for?
Thomas J. Smith is listed with skills including Investment Management, Equities, Fixed Income, Hedge Funds, Securities, Investment Banking, Alternative Investments, and Asset Managment.
Find 750M verified contacts
Search by job title, company, industry, location, and seniority. Export verified B2B contact data when you need it.
Start free trialPeople with similar names
Check these profiles if this is not the Thomas J. Smith you were looking for.
View similar profiles
