Executive Director, Registered Funds Chief Compliance Officer
Mr. Sullivan is a results-driven attorney and compliance executive, specializing in the assessment, build out and management of compliance programs for investment advisers and funds. He has prepared several firms for regulatory examinations, and successfully managed several high-stakes examinations. Specialties: - Comprehensive design, build and management of compliance programs - Regulatory exam management - Compliance program assessments - Testing programs - Compliance training - Contracts drafting and negotiation, legal research - Investment Advisers Act of 1940 - Investment Company Act of 1940 - Investment adviser, hedge fund, mutual fund, and collective trust compliance
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