Compliance & examinations

Examinations, investigations and regulatory work.

Direct responsibility for examination responses, regulatory investigations, reporting and the controls that put compliance requirements into practice.

SEC examinations

Covara CapitalRole held 2025–present

SEC examination response

Partner · COO / CFO / CCO

Direct the SEC examination response process for a Blackstone-seeded, SEC-registered credit investment manager.
The response work covers valuation, custody, governance, operational controls, marketing compliance and cybersecurity oversight.

Bay Harbour ManagementRole held 2007–2009

30-day SEC sweep examination

CFO / CRO

Managed a 30-day SEC sweep examination while serving as Chief Financial Officer and Chief Risk Officer of the distressed-investment manager.

Investigations & settlements

LaBranche & Co.Role held 1999–2007

Two-year NYSE/SEC industry investigation and settlement

Enterprise Risk Manager / CRO

Served as LaBranche’s lead regulatory representative in a two-year, $250 million industry-wide NYSE/SEC investigation and settlement.
The matter involved LaBranche, Goldman Sachs, Bear Stearns, Bank of America and Van der Moolen.
Developed trade-surveillance applications and processes as part of the SEC settlement agreement.

Other audits & regulatory correspondence

Nikko Asset ManagementRole held 2009–2011

Regulatory audits and sale-related communications

COO / CFO, New York adviser

Communicated the firm’s culture, organizational structure and advisory services to the Fed, IRS, New York State and Department of Labor in connection with several audits and the sale process to Sumitomo.
Held responsibility for finance, risk, technology, compliance and operations at the New York SEC-registered investment adviser.

Filings, surveillance & compliance controls

Yarra Square PartnersRole held 2019–2025

Forms ADV, 13F, 13H, D and PF

Partner · COO / CFO / CCO

Prepared and filed regulatory reports, including Forms ADV, 13F, 13H, D and PF.
Administered the compliance program alongside financial reporting, valuation oversight, operational controls and management-company forecasting.

LaBranche & Co.Role held 1999–2007

NYSE Regulation NMS Hybrid Committee

Enterprise Risk Manager / CRO

Served on the NYSE Regulation NMS Hybrid Committee during the transition in market structure.
Worked across the firm’s transition through decimalization, the specialist investigation and the move toward derivatives trading.

Caravel ManagementRole held 2015–2016

Technical and operational security controls

CFO / COO

Managed internal security processes from both technical and operational perspectives to support financial-industry compliance requirements.

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