Kevin Gleason Email Address

Chief Compliance Officer of Mainstay Funds and Index IQ ETFs

Rimkus Analytics has the expertise and technology to assist clients in the identification, collection, preservation and analysis of electronically stored information as a component of the legal discovery process. With quick response times, Rimkus Analytics can ensure that information is collected in a timely and defensible manner with minimal business disruption. Electronically stored data can be retrieved from computers, network servers, mobile/smart phones, PDA's, email systems, websites, portable devices and more. Rimkus Analytics also has the ability to conduct social media discovery, utilizing industry recognized forensic tools and collective knowledge to discern an individual or entity's identity, actions and photos online. These services include, but are not limited to, the research of publicly available social media websites and platforms, as well as other research found in the digital form. Rimkus Analytics, LLC is headquartered in Houston, Texas.

I provide leadership and business growth to global diversified financial services organizations. My experience includes: · Manage the compliance function and a team of professionals for the Voya Funds, a complex of approximately 150 funds and more than 50 sub-advisers and third party service providers. · Lead internal legal teams and outside counsel in high-impact initiatives advising retail and institutional asset managers--Banc One Investment Advisors ($100B+) and Mason Street Advisors ($100B+). · Play key role in investment management decision-making and the new product development process for the $90B+ Bank One Trust Company Private Client Services and $25B+ Northwestern Mutual Wealth Management Company businesses. · Establish, form and maintain numerous domestic and offshore hedge funds, private investment companies and unregistered funds including the $250M Banc One Opportunity Fund and the $750M NM Pebble Valley LLC. Served as lead attorney for Carr Global Advisors LLC, a 14-fund hedge fund of funds adviser, with AUM of approximately $500M. · Negotiate ISDA, prime brokerage, other trade account documentation and market data agreements for OTC and exchange traded derivative transactions with various counterparties and derivative exchanges in Asia, North America, Europe, South America and Australia. · Advise on federal securities and state insurance laws governing the distribution of investments and insurance for broker dealers/insurance agencies: Banc One Securities Corporation and Northwestern Mutual Investment Services. · Implement compliance and risk management policies and procedures; educate senior management on effective controls and processes; and develop business continuity plans, disaster recovery and data integrity and security. Structure corporate committees and establish reporting and certification procedures. Conduct due diligence on sub-advisers, third party service providers and counterparties. Respond to regulatory inquiries and examinations.