Expert Profile
I am a compliance and legal professional with nearly 15 years of experience encompassing broker-dealer, investment adviser, hedge fund and commodity trading adviser issues. I have built broker-dealers, hedge funds and investment advisers (including their compliance programs) from the ground up and partnering effectively with business leaders to help the company achieve its goals. My expertise includes: policies and procedures, regulatory examinations, forensic testing, regulatory examinations, compliance training, Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, FINRA regulations. Product expertise includes: equity, fixed income, investment banking, research, information barriers, conflicts of interest, cross-border issues, global compliance issues.
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“At Battery, we perform extensive due diligence on every investment we consider. Zintro helped us find relevant experts and pay only for those with whom we chose to consult.”