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Work Experience
Director
2011 - Present · 13 years and 11 months
Steelbridge Compliance LLC
Vice President
2010 - 2011 · 1 years
Self-employed
Independent Investment Management Regulatory Compliance Consultant
2009 - 2010 · 1 years
Company Details
Alaric Compliance is now part of Foreside. At Foreside, we pair comprehensive and customized advice with best-in-class technology to help firms in the investment management space continue to innovate, improve and grow. We tap state-of-the-art technology to help firms drive operational efficiency and flourish in today’s regulatory environment. Foreside’s suite of services and platform-based model automate and simplify compliance and distribution for firms and are designed to scale as clients grow. With Foreside as a partner, firms can dedicate time and effort to portfolio management, client service, sales and other value-adding work.
Year Founded
2004
Social Media
Linkedin
Industry
Financial Services
HQ Location
150 Broadway, Suite 302 New York, New York 10038, US
Keywords
Regulatory Compliance ConsultingOutsourced Chief Compliance Officers (CCOs)Principal Financial Officers (PFOs)Oversight and Monitoring Servicescrowdfunding platformsSECFINRACFTC/NFABusiness Development CompaniesSEC Mock Exams
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