Georgetown Law
IN PROGRESSMaster of Studies in Law, Taxation
Candidate · Expected 2028
FINANCE · OPERATIONS · GOVERNANCE
J. Michael Herring
Trusted advisor to principals
and leadership teams.
I bring financial, operational and technical judgment to complex decisions, drawing on experience launching businesses, navigating regulatory matters and leading change.
CPA · CISA
Harvard ALM · NYU MBA · Georgetown Law candidate
AZORA CAPITAL
$15m to $285m
Operations supporting growth across four accounts in nine months.
CARAVEL MANAGEMENT
45 days
EZE and supporting processes for three funds, against a 90-day timetable.
PINE GROVE
$1bn / 40
Investments and external managers covered by approved operational reviews.
01 / FUNCTIONAL EXPERIENCE
Explore the work
by function.
Specific examinations, financial processes, systems implementations and business transitions across my career.
01 / EXPERIENCE
Compliance & examinations
Direct responsibility for examination responses, regulatory investigations, reporting and the controls that put compliance requirements into practice.
- SEC examinations at Covara and Bay Harbour
- NYSE/SEC investigation and settlement at LaBranche
- Regulatory audits, filings and trade surveillance
Explore this function 7 detailed entries
02 / EXPERIENCE
Risk & governance
Committee leadership, manager due diligence, asset safeguards and risk reporting across investment managers and a public trading business.
- Pine Grove committee leadership and 40-manager oversight
- Sarbanes-Oxley governance at LaBranche
- Global risk oversight and trading benchmarks
Explore this function 5 detailed entries
03 / EXPERIENCE
Finance & treasury
Accounting, reporting, budgets and liquidity, with hands-on responsibility for the financial processes behind investment operations.
- Management-company budgets, profitability and cash forecasts
- NAV, valuation, audit and tax coordination
- Real-time cash and margin analysis during the Lehman crisis
Explore this function 6 detailed entries
04 / EXPERIENCE
Launches & business transitions
Fund formation, new investment strategies, operating models and ownership transitions, including work with Blackstone- and Tiger Management-seeded businesses.
- Covara and Azora platform launches
- Three Pine Grove funds and a registered interval-fund conversion
- Pre-launch CFO assignments, sale and wind-down experience
Explore this function 7 detailed entries
05 / EXPERIENCE
Investment & business operations
Trading workflows, counterparty coordination, operating scale and business infrastructure across credit, equities and derivatives.
- Loans, swaps, collateral and multi-counterparty settlements
- Four vehicles, three prime brokers and three administrators
- Trading-desk oversight and office infrastructure
Explore this function 6 detailed entries
06 / EXPERIENCE
Technology, data & AI
Order and portfolio management, accounting platforms, data warehouses, investor systems and research workflows, supported by hands-on technology and cybersecurity experience.
- Alphadesk, Enfusion, EZE and Advent Geneva
- Salesforce CRM and bespoke research management
- SQL reporting, research automation and AI workflows
Explore this function 11 detailed entries
07 / EXPERIENCE
Investors & service providers
Direct work with allocators, founders, auditors, administrators, counsel and banking counterparties through launches, growth and business transitions.
- $100 million anchor-investor ODD at Azora
- Caravel’s due diligence questionnaire within 90 days
- Institutional allocations, reporting and provider coordination
Explore this function 6 detailed entries
02 / BACKGROUND & CREDENTIALS
Finance, technology
and governance.
A perspective shaped by finance, trading, technology, public-company oversight and investment management.
Judgment grounded in executive experience.
My work has spanned lean fund launches and larger investment organizations. At Nikko Asset Management, I led finance, risk, technology, compliance and operations for the New York adviser, with more than $4 billion in assets and 45+ employees.
At Pine Grove, I chaired the Operating, Valuation and Risk Committees and played a central role in the firm’s organizational transition and sale to Man Group.
Earlier roles at LaBranche, J.P. Morgan and Ernst & Young bring trading, public-company risk oversight and technical experience to my work as an advisor and executive.
Harvard University
Master of Liberal Arts, Information Management
ALM · Cybersecurity emphasis · 2020
New York University
Master of Business Administration
MBA · 2004
University of Scranton
Bachelor of Science, Accounting
History minor · Varsity crew · 1992
Certified Public Accountant
Certified Information Systems Auditor
03 / CONNECT
Let’s connect.
Connect with me on LinkedIn for professional introductions and conversations.