Experience

NorthPoint Compliance LLC

• United States
• Investment Management
• 1 - 100 Employee

• President

  • Jun 2009 - Present

  NorthPoint Compliance (NorthPoint) provides compliance assistance to investment advisers registered with the U.S. Securities and Exchange Commission (SEC). Services include: • Conducting mock regulatory audits and annual reviews for investment adviser clients • Identifying gaps and weaknesses in clients' compliance programs and performing quarterly documented reviews • Conducting focused reviews in response to SEC document requests and deficiency letters • Researching novel and… Show more NorthPoint Compliance (NorthPoint) provides compliance assistance to investment advisers registered with the U.S. Securities and Exchange Commission (SEC). Services include: • Conducting mock regulatory audits and annual reviews for investment adviser clients • Identifying gaps and weaknesses in clients' compliance programs and performing quarterly documented reviews • Conducting focused reviews in response to SEC document requests and deficiency letters • Researching novel and complex regulatory issues for clients and maintaining knowledge of current regulations • Providing written action plans to clients that include recommendations and suggested compliance program enhancements and assisting clients with the implementation of any suggestions provided As a result of years of experience in both the public and private sectors, NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective compliance program that will accomplish your compliance objectives. Show less



Fortress Investment Group LLC

• Compliance Officer

  • Jul 2007 - May 2009

  • Developed and enforced compliance policies and procedures • Modified existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws • Provided compliance advice to business people at the firm • Performed periodic and annual reviews of the firm's compliance program • Conducted formal compliance training for firm employees



United States Securities and Exchange Commission

• Securities Compliance Examiner/Staff Accountant

  • Jul 2000 - Aug 2006

  • Led cause and routine compliance examinations of various types of registrants including fixed-income and equity advisers, investment advisers to mutual funds and dually registered advisers • Reviewed and analyzed registrant compliance policies and procedures, internal controls, conflicts of interest, trading activity, brokerage execution, securities valuation, employee personal securities transactions, financial statements and marketing and performance materials • Provided training and… Show more • Led cause and routine compliance examinations of various types of registrants including fixed-income and equity advisers, investment advisers to mutual funds and dually registered advisers • Reviewed and analyzed registrant compliance policies and procedures, internal controls, conflicts of interest, trading activity, brokerage execution, securities valuation, employee personal securities transactions, financial statements and marketing and performance materials • Provided training and on-site supervision to junior compliance examiners • Conducted formal and informal interviews of partners, directors, traders, portfolio managers, compliance officers, and legal counsel of registrant • Proactively acquired and applied knowledge of federal securities statutes, SEC interpretive releases, SEC no-action letters and current industry practices • Prepared extensive reports describing violations and/or deficiencies regarding registrant compliance with federal securities laws and weaknesses in internal controls • Formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC's branches of enforcement and recovering misappropriated assets for clients Show less