2025 Compliance Conference

Karen L. Barr is president and chief executive officer of the IAA. Before assuming the role of president and CEO in 2014, she served as the IAA’s general counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the investment adviser industry. Prior to joining the IAA, Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. She received her B.A. from the University of Pennsylvania and her J.D. from the University of Michigan Law School.

Alison E. Baur is deputy general counsel and head of US legal at Franklin Templeton. Before joining Franklin in 2006, Baur was a vice president at Charles Schwab, serving as chief legal officer for Schwab’s Laudus Funds and Excelsior Funds and as a senior attorney supporting multiple business divisions. She started her career at the SEC, first as a law clerk for its Administrative Law Judges, then joining the Division of Investment Management as a senior counsel and then a branch chief. Baur is a graduate of UC Davis and UC College of the Law, San Francisco. She is chair of the IAA’s Board of Governors. 

Gail C. Bernstein general counsel and head of public policy for the IAA. She joined the IAA in 2017 from the law firm of WilmerHale in Washington, DC, where she had been a special counsel and before that a partner in the Securities Department. While in private practice, Bernstein counseled clients on all aspects of financial and securities regulation. Bernstein earned her B.A. from the Hebrew University of Jerusalem and her law degree from Harvard Law School in 1988. After law school, Bernstein clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts.

Monique S. Botkin is associate general counsel of the IAA. Prior to joining the IAA in 2004, she was an associate in the financial services groups at Dechert LLP in Newport Beach, California, and Alston & Bird LLP in Washington, DC. While in private practice, Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.

Colleen Theresa Brown is a partner at Sidley Austin LLP, where she focuses on digital risk management, including compliance, digital governance, investigations, litigation, and regulatory enforcement, and crisis management related to privacy, cybersecurity, and artificial intelligence. She is a Certified Information Privacy Professional and a certified Artificial Intelligence Governance Professional through the International Association of Privacy Professionals. Brown is chief editor of the Sidley blog Data Matters and she is on the Steering Committee of Sidley’s Artificial Intelligence Working Group. 

Maria Chambers, IACCP®, is chief compliance officer of Klingenstein Fields Advisors, where she oversees and administers the compliance program, including developing, implementing, and enforcing policies and procedures based on an assessment of applicable industry rules and regulations. Chambers began her career in the Corporate Legal Department at Cravath, Swaine & Moore. She then joined Morgan Stanley Investment Management Inc., where she oversaw the compliance program for the firm’s ultra-high-net-worth custom separately managed account and wrap account platforms. Most recently, she was a vice president and senior compliance officer at Guggenheim Partners Investment Management Inc. She graduated cum laude from Fordham University with a B.A. in Economics, a minor in Philosophy, and a certificate in Business Administration. 

Nicole Del Rosario, IACCP®, is a consultant at COMPLY. She has over 20 years of experience working with FINRA and SEC rules and regulations and works closely with investment advisers, private equity firms, and broker-dealers to help them understand compliance risks and regulatory obligations. Prior to joining COMPLY, Del Rosario was a director of compliance and anti-money laundering officer at a broker-dealer, investment adviser, and insurance company where her responsibilities included compliance oversight for broker-dealer trading and operations and code of ethics. She has held her Series 7, 24, 4, 66 licenses as well as her Life and Health Insurance Licenses and currently holds the Certified Anti-Money Laundering Specialist designation (CAMS). 

Caleb C.B. DuBois is general counsel, chief compliance officer, and a vice president of R.M. Davis. He is responsible for the oversight and direction of the company’s compliance activities and risk management environment, the implementation of its compliance policies and procedures, and the management of its legal affairs. Prior to joining R.M. Davis in 2022, DuBois was a shareholder at Bernstein Shur, a local law firm, where he represented clients in the full range of their business development, regulatory compliance, and corporate needs, including helping C-suite executives navigate complex regulatory risks and sensitive fiduciary and ethical matters. He earned an A.B. from Bowdoin College, magna cum laude, and a J.D. from Northeastern University School of Law. 

Langston Emerson is a managing partner at Mindset, a policy advisory and advocacy firm in Washington, DC. Emerson leads the asset management practice, where he advocates on federal policy issues important to clients and their investors and shareholders. He also leads a team to conduct due diligence on behalf of private equity and venture capital investments. Previously, he was the head of government affairs for the American Investment Council, advising large private equity firms, and led the financial service government affairs practice at TIAA during the creation of the Dodd Frank Act. Emerson holds a B.A. from Howard University and a J.D. from The George Washington University Law School. 

Tori Erker, IACCP®, is the sr. manager, monitoring and testing at Mercer Advisors, where she oversees 206(4)-7 annual testing and the branch audit program. In addition, she holds the Certified Internal Auditor (CIA) designation. Prior to her current role, she served in various roles encompassing sales, operations, supervision, and compliance consulting. Erker‘s experience extends across broker-dealers, investment advisers, dually registered entities, and private funds. She holds a bachelor’s degree from Columbia Southern University. 

Steven Farmer is the chief compliance officer for Confluence Investment Management LLC, responsible for managing the compliance program, which includes monitoring firm-wide compliance with internal policies as well as regulatory requirements. Before joining Confluence, he served as the chief compliance officer for Northern Trust Investments, Inc., 50 South Capital Advisors, LLC and various registered mutual funds. Previously, Farmer served as the chief compliance officer for Mesirow Advanced Strategies, Inc., as well as senior compliance positions for Mesirow Financial International in the U.K. and Hong Kong. He received a B.S. degree in Finance from Northern Illinois University and an MBA from DePaul University. 

Jan M. Folena is a partner at Stradley Ronon and serves as co-chair of the firm’s securities enforcement practice. She focuses her practice on SEC and other regulatory enforcement matters and the defense of private securities litigation and commercial disputes. Folena has over 25 years of first-chair experience in securities, derivatives, and commercial litigation and represents clients involved in regulatory examinations, investigations, arbitrations, mediations, and trials. Prior to joining Stradley Ronon, she served as supervisory assistant chief litigation counsel to the asset management enforcement unit at the SEC, where she led some of the industry’s most complex and high-profile cases in the Enforcement Division. 

Laura L. Grossman is associate general counsel of the IAA. She has more than 20 years of experience as an investment management attorney. Prior to joining the IAA in 2012, she was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. Grossman received her B.A., summa cum laude, from Rutgers College, and she received her law degree from the University of Pennsylvania.

Stephanie Hui is lead counsel, public policy and vice president of Dimensional Fund Advisors, where she coordinates the firm’s response to global regulatory and public policy developments. Before joining Dimensional, Hui was a branch chief in the SEC Division of Investment Management and an associate at Skadden, Arps, Slate, Meagher & Flom LLP. She earned her JD from The University of Texas School of Law and her BSFS from Georgetown University. 

Caroline Jankowski is a partner and the chief compliance officer for Operose Advisors. She joined the firm in 2019 and more than 20 years of experience in the industry. She is responsible for administering the firm’s compliance program, as well as overseeing the day-to-day business management of the firm. Prior to joining Operose, she was a partner and project lead with Vista360, LLC where she was responsible for assisting investment advisers and funds with SEC compliance and strategic matters and leading the firm’s research and consulting process efforts. Before Vista360, she was chief financial officer of Ziegler Capital Management and its proprietary fund family. Jankowski holds a B.A. in Economics and Spanish from the University of Wisconsin – Madison. 

Sanjay Lamba is associate general counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

Josh Levit is chief compliance officer for ISSM and Private Markets, Americas at Invesco. In this role, he is responsible for overseeing the compliance function for the North American Direct Real Estate team and strategies managed through Invesco Senior Secured Management, Inc., Invesco Private Capital, Inc. and WL Ross & Co. LLC. Prior to joining the Invesco, he served as assistant general counsel at VEREIT, Inc.; assistant general counsel, vice president at AR Capital, LLC/RCS Advisory Services, LLC.; and as counsel II at the Pennsylvania Securities Commission in its Division of Corporate Finance. Levit earned a B.A in History from Duke University and a J.D. from the Dickinson School of Law. 

Jim Lundy is a partner at Foley & Lardner LLP. A former SEC enforcement supervisor and senior trial counsel, Lundy empowers investment advisers, brokerage firms, and companies to overcome investigations by enforcement regulators while preserving their reputations and stakeholder relationships. He helps protect clients under investigation by the SEC, the CFTC, and other regulatory bodies by leveraging his experience working in the SEC’s Division of Enforcement for almost a decade. He spent the last several years of his service with the SEC helping lead the Division of Examinations program in the Midwest, and with this experience he works with clients to manage high-stakes examinations away from enforcement referrals. 

William A. Nelson is associate general counsel and director of public policy at the IAA. Previously, he was assistant general counsel and public policy counsel at CFP Board and chief compliance officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an adjunct professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.

Erik Olsen is chief compliance officer at Vident Asset Management. Prior to joining Vident, he served as a managing director at ACA Group as the head of registered investment company compliance. He also served was a compliance director at Legg Mason, where he headed the firm’s Global Compliance Examinations team, and as a securities compliance examiner in the SEC’s Office of Compliance Inspections and Examinations (Investment Adviser/Investment Company). Before the SEC, Olsen worked in the Mutual Funds Legal and Accounting Departments of Deutsche Asset Management. He earned his B.B.A. degree in Finance from Loyola College (now Loyola University Maryland).

Dabney O’Riordan is a partner at Quinn Emanuel Urquhart & Sullivan, where she focuses on SEC examinations and litigation, as well as general investment adviser compliance and internal investigations. A 17-year SEC veteran, she was the longest-serving leader of the Asset Management Unit. In addition to overseeing investigations, O’Riordan worked on various initiatives, task forces, and SEC rules including the Share Class Selection Disclosure Initiative, the Climate and ESG Task Force, the Interpretation Regarding Standard of Conduct for Investment Advisers, the Marketing Rule, the Proposed Private Fund Adviser Rule, and the Proposed ESG Disclosure Rule for Investment Advisers and Investment Companies. She received her B.S in environmental science, magna cum laude, from Wellesley College and her J.D. from the UCLA School of Law. 

Mari-Anne Pisarri is a partner with Pickard Djinis and Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers, NRSROs, and service providers to the securities industry and frequently writes and speaks about these matters. Pisarri received her B.A. from St. Lawrence University, summa cum laude, and her J.D. from Cornell Law School, magna cum laude. 

Mukya Porter is a principal of CIM Group, serving as chief compliance officer of the company and three affiliated companies, OCV Partners, OFS Capital Management and Round Hill Capital Ventures. Prior to joining CIM, Porter served as a senior vice president of compliance at Oaktree Capital Management. Her experience also includes roles at Pacific Investment Management Company as vice president, compliance; at Morgan Stanley Global Wealth Management as vice president, legal; and at Morgan Stanley Investment Management as vice president, compliance. Porter earned a B.S. degree in Biology from Howard University and a J.D. from the University of California, Berkeley School of Law. 

Adam J. Reback is a partner at Optima Partners, a leading global regulatory compliance advisory firm, where he focuses on supporting the regulatory and compliance needs of hedge funds, private equity funds, registered investment advisers, broker-dealers, independent research providers, and other global financial institutions. Reback has 25 years of investment management industry experience including as partner & CCO of J. Goldman & Co., L.P. and CCO of John A. Levin & Co. He is a regular contributor to various investment industry periodicals and frequently speaks at numerous industry events and conferences on a wide variety of topics. Reback attended New York University and completed the FBI Citizens Academy. 

Alejandro Staroselski is a director within the Internal Audit department of Prudential. He provides audit coverage to ensure adequate oversight of key regulatory compliance risks across domestic and international businesses. His experience includes assessing businesses’ compliance and risk monitoring programs, corporate governance, and internal controls. Previously, Staroselski worked as a senior compliance examiner within the Sales Practice group at FINRA and in international private banking covering Latin America, managing high net-worth customer relationships and investment portfolios. He holds a J.D. from the University of Buenos Aires Law School; an LL.M. in Banking, Corporate, and Finance Law from Fordham Law School; and an M.A. in Conflict Resolution and Mediation from Tel Aviv University. 

Tracy M. Soehle is associate general counsel at the IAA. Previously, she was managing director and senior counsel at Affiliated Managers Group, Inc. where she was responsible for overseeing AMG’s regulatory affairs and legal and compliance support of its global operations and Affiliates. Prior to joining AMG, Tracy was a senior compliance manager at State Street Global Advisors; regulatory compliance manager at Wellington Management Company LLP; and an attorney at the law firm Dechert LLP. She received a B.S. from Boston College and a J.D. from Tulane University Law School.

Jamie Lynn Walter is a partner in the Investment Funds Regulatory Strategy group at Latham & Watkins LLP, where she advises clients on a wide range of legal, regulatory, and compliance matters across the asset management industry. Her practice focuses on SEC regulation of investment advisers and private funds. Walter offers valuable insights into the SEC, including its policies, procedures, operations, and processes. She utilizes her extensive SEC and private sector experience to successfully counsel clients through numerous complex SEC examinations and enforcement investigations, oftentimes resulting in examinations closed with no deficiencies or comments. She focuses on providing clients creative solutions to navigating regulatory risks while also fitting within commercial realities. 

Zephram J. Yowell is a senior vice president and senior counsel in the legal and compliance department in the Newport Beach office of PIMCO, where he advises on matters relating to PIMCO’s U.S. institutional clients and U.S. regulatory interactions. Yowell joined PIMCO in 2009 as a legal specialist. He has 15 years of legal experience and holds an undergraduate degree and a J.D. from Chapman University. He is a member of the California bar.  

Amy Yuter is managing principal of Yuter Compliance Consulting, a boutique compliance consulting firm, specializing in tailored consultation and support services for registered investment advisers, including asset managers, private equity firms and hedge funds. She has over three decades of industry experience, including as a regulator in the SEC Division of Examinations. Yuter is the founder of the Philadelphia Compliance Roundtable, which provides a platform for compliance professionals to exchange ideas and best practices. Additionally, she established the Investment Management Compliance Testing Survey, an important tool for benchmarking and improving compliance practices across the industry.