Oversee compliance programs for registered funds, including CCO reports, Rule 38a-1 policy reviews, service-provider due diligence, risk assessments, regulatory examinations, and compliance controls. The role also manages client and stakeholder communications, supports staff onboarding and training, and leads technology- and AI-enabled process improvements to enhance scalability, quality, and operational efficiency.

Leads outsourced compliance programs for registered investment advisers, funds, and private funds. Serves as CCO, advises clients on SEC regulations, oversees policies, risk assessments, monitoring, filings, and annual reviews, and represents clients during SEC examinations and enforcement actions. Manages and mentors compliance teams, supports business development, maintains client relationships, and exercises independent judgment on complex regulatory matters.