2025 Compliance Conference

Amber Allen is general counsel and executive vice president of Fairview. She also serves as general counsel and president of Fairview Cyber, which develops cyber and data security programs and advises clients on regulatory requirements and industry best practices. Allen joined Fairview in 2014. She is a member of the NSCP Board of Directors and serves on the NSCP Currents Editorial Board and Publications Committee, Governance Committee and Regulatory Advisory Committee. Allen holds a B.S. in Business Administration – Finance from North Carolina State University and a J.D. from Elon University School of Law. She is a Certified Information Privacy Professional.

Mark Amorosi is a partner in the K&L Gates’ Asset Management and Investment Funds practice. He also serves as one of three practice area leaders of the firm’s financial services practice. Amorosi focuses his practice on representing investment advisers, mutual funds and exchange-traded funds, private and alternative investment funds, insurance companies, fund boards, broker-dealers, banks, and other financial institutions. Prior to joining K&L Gates, Amorosi served in several positions in the SEC Division of Investment Management, including special counsel, branch chief, and staff attorney. He earned a B.A. from Boston College and a J.D. from Catholic University of America Columbus School of Law.  

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.

Thoreau Bartmann is co-chief counsel of the SEC Division of Investment Management, where he oversees the Division’s legal guidance regarding investment advisers and funds and supervises the enforcement and exams liaison function of the Division. Bartmann joined the Commission in 2005, developing rulemaking policy in a variety of capacities, and in 2021 he took on a new position as an assistant director in the Chief Counsel’s Office, where he oversaw the Division’s work on crypto and international matters and provided guidance to advisers and funds. Before the SEC, Bartmann worked as an associate at the law firm Fried, Frank, Harris, Shriver, and Jacobson. He received his J.D. from the University of North Carolina Chapel Hill and his B.A. from the University of Alabama, Birmingham. 

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.

Sarah A. Bessin is senior associate general counsel, U.S. regulatory affairs and investment management, at Franklin Templeton. Previously, she was deputy general counsel at the Investment Company Institute. Bessin has also served in multiple roles at the SEC, including as assistant director of the Office of Investment Adviser Regulation in the Division of Investment Management; assistant chief counsel in the Division of Enforcement; and special counsel in the Division of Investment Management’s Office of Chief Counsel. She also spent more than five years in private practice at Shearman & Sterling LLP (now A&O Shearman), advising financial services clients on a wide variety of regulatory, transactional, and compliance matters. Bessin received her B.A. from the University of Michigan and her J.D., cum laude, from the University of Michigan Law School. 

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. 

Keith Cassidy, CISSP, is the acting director of the SEC Division of Examinations and the national associate director of the Technology Controls Program. He is the Commission’s senior staff representative to the Financial Banking Information Infrastructure Committee, the Cyber Incident Response Council, and the G7 Cyber Experts Group, and also serves as the federal senior intelligence coordinator. Previously, Cassidy was director of the SEC’s Office of Legislative and Intergovernmental Affairs; chief of staff and counsel at the Department of Justice’s Office of Legislative Affairs; and an attorney in the United States Senate. He holds a B.A. in History from the University of Virginia, a J.D. from George Washington University Law School, and an LL.M. in Securities and Financial Regulation from Georgetown Law Center. 

Joanna Catalucci is a senior managing director within Compliance at Guggenheim Investments. She leads the strategic direction of the firm’s comprehensive compliance program, focusing on compliance requirements of the investment advisors, products, and distribution specific to the registered mutual fund business. Catalucci is also the chief compliance officer (CCO) for Guggenheim Wealth Solutions, LLC, an investment adviser to separately managed account programs. Previously, she served as senior vice president and CCO of Rydex|SGI; as vice president of fund administration for Chase Global Fund Services Co.; as the treasurer for the Morgan Stanley Dean Witter group of funds; and as an audit supervisor at PriceWaterhouseCoopers, LLP. She holds a B.S. degree in Accounting from Merrimack College. 

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. 

Johanna Collins-Wood is the deputy general counsel at Bitwise Asset Management and the chief compliance officer of Bitwise Investment Manager, an SEC-registered investment adviser. Prior to Bitwise, she advised innovative financial technology companies at the law firms Wilson Sonsini Goodrich and Rosati and Troutman Pepper Hamilton Sanders. A graduate of Duke Law School and Duke University, and a member of Phi Beta Kappa, Collins-Wood began her career in the London office of Davis Polk & Wardwell, where she advised entrepreneurial companies on their initial public offerings in Europe and the U.S. She also serves on several non-profit boards focused on education and the arts. 

Nicole Del Rosario, IACCP®, is a senior 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). 

Adam DiPaolo serves as managing director at Salus GRC in its Regulatory Compliance practice. His expertise lies in the Investment Advisers Act and regulatory compliance for advisers to private funds, as well as traditional and internet-based wealth managers. Previously, he was director, U.S. regulatory reporting at CSS, a Confluence Company, where he led client delivery for US reporting solutions. Prior to consulting, DiPaolo began his career as in-house counsel to Capgemini. He holds a B.A. from Pitzer College, a J.D. from UC Berkeley School of Law, and an LL.M. in Taxation from NYU School of Law. 

Carlo di Florio is the president of ACA Group, where he leads global oversight of key businesses, client relationships, thought leadership, and strategic engagement with regulators, legislators, media, capital allocators, alliance partners, industry associations, and professional associations. Previously, di Florio worked for more than 25 years in executive leadership roles at PricewaterhouseCoopers (PwC), the SEC Office of Compliance Inspections and Examinations, and FINRA. He also serves on the Boards of several industry and professional associations and as an adjunct professor at Columbia University, where he teaches Strategic Risk Management in the Master of Science program in Enterprise Risk Management. 

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. 

Jennifer Eller is a principal in Groom Law Group’s Fiduciary and Retirement Services practice. She has been in practice for over 20 years advising financial institutions on retirement products and services and working closely with large corporate and public plan sponsors on ERISA compliance. Eller regularly attends fiduciary committee meetings and conducts fiduciary training. She holds a B.A., magna cum laude, from Avila College and a J.D., cum laude, from Georgetown University Law Center. 

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. 

Chad Estep is a partner and the chief compliance officer of Corient. Prior to joining Corient in 2023, he was the managing director, deputy CCO for Morgan Stanley Wealth Management, where he oversaw the compliance advisory functions for digital strategy, the private banking group, and international wealth management businesses. Estep joined Morgan Stanley following their acquisition of E*TRADE in 2020, where he served as enterprise CCO. Prior to joining E*TRADE in 2015, he served as the enterprise CCO at Stifel and as an auditor with Deloitte. Estep graduated from Lipscomb University with a B.S. in Professional Accountancy. 

Dan Faigus, CAIA, CRCP, is the private funds specialist within the SEC Division of Examinations, a member of the SEC’s Private Funds Unit, and a co-coordinator of the SEC’s Private Funds Specialized Working Group. He works on complex examinations and investigations of private fund advisers both within the Division of Examinations and the Division of Enforcement. Faigus is also an adjunct professor at Drexel University’s Thomas R. Kline School of Law, where he has developed courses related to private funds and the Investment Advisers Act of 1940. Previously, he worked at a big-four consulting firm assisting their private equity, hedge fund, and broker-dealer clients in navigating SEC and regulatory related matters. Faigus graduated from The George Washington University’s Honors Program with a degree in Finance and the Georgetown University Law Center’s Securities and Financial Regulatory Certificate Program. 

Lee Faria is vice president of Asset Management Compliance and the chief compliance officer for Columbia Management Investment Advisers, LLC. In these roles, Faira manages a group of employees who are responsible for investment guideline monitoring and trading surveillance as well as product compliance. She has significant expertise in investment adviser regulatory matters, having started in the industry in 1987, and since 1994 she has served in a legal or compliance capacity. Faria previously worked for Deutsche Asset Management (formerly Scudder Kemper), Fidelity Investments, and Mellon Bank. She received her B.A. from Wellesley College and J.D., cum laude, from Suffolk University Law School. Faria is a member of the Massachusetts Bar Association. 

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. 

Debra (Debbie) Franzese is a partner in the Investment Management group at Seward & Kissel LLP. She works with sponsors and managers of various private investment funds and other pooled investment vehicles, including hedge funds, private equity funds, funds of funds, commodity pools, co-investment vehicles and various “hybrid” funds. In particular, Franzese focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments. She also represents investment advisers in connection with seed-capital investments and side letters and represents funds of funds and other institutional investors in connection with their investments in private funds. Franzese received a B.A. from Stockton University, summa cum laude, and her J.D. from American University, Washington College of Law, magna cum laude. 

Melissa S. Gainor is an investment funds partner in the Washington, D.C., office of Kirkland & Ellis LLP. Prior to joining Kirkland, she led the SEC’s Division of Investment Management Investment Adviser Regulation Office. In this role, she oversaw all rulemaking affecting registered investment advisers and led initiatives to modernize rules for investment adviser marketing, ETFs, and fund of funds arrangements. She also worked closely with the Divisions of Examinations and Enforcement on interpretative matters regarding the application of the securities laws to all types of investment advisers. Prior to joining the SEC, she was in private practice where she served as counsel to investment advisers, investment companies, and boards of directors. 

Pam Gelormini is a vice president, director of compliance, and privacy officer of MFS Investment Management®. She is responsible for MFS’ employee conduct, U.S. funds and advisor compliance programs, privacy and records management programs, compliance education, regulatory exam oversight, and the development of compliance monitoring and testing plans. She has over twenty-six years professional experience at MFS working in roles within corporate insurance, risk management and compliance, assisting with the design and implementation of various compliance and risk management programs. Gelormini received a B.S. degree in Business Administration with a concentration in Finance from Sacred Heart University. She is also a Certified Information Privacy Professional in the US (CIPP/US) with the International Association of Privacy Professionals. 

Melissa Gilbertson is chief operating officer at Mairs & Power, Inc. In this role, she oversees the daily operations of mutual fund and advisory operations, human resources, office administration, information technology, and investment management support, and assists the management team with the operations of those departments. In addition, she designs and implements business plans, policies, and procedures according to the firm’s strategic plan and annual strategic priorities. Previously, Gilbertson worked at Alerus Retirement Solutions, Fairview Health Services, and United Health Group. She is a Board of Trustee member and chair of the Finance Committee of the Episcopal Homes of Minnesota and a board member of the CFA Society of Minnesota. She earned a B.A. from the University of Minnesota and an MBA from the University of St. Thomas. 

Katie Gorham is senior counsel at Capital Group, where she advises the enterprise on legal issues and transactions related to technology – including software-as-a-service (SaaS), technology outsourcing and generative artificial intelligence – data and technology governance, cybersecurity, and other information technology matters. Prior to joining Capital Group, Gorham worked at PricewaterhouseCoopers LLP (PwC) on complex technology and commercial transactions on behalf of PwC’s global network. Prior to PwC, she represented the buy-side and sell-side at Citadel LLC, where she created, implemented and oversaw enterprise policies and transactions related to Citadel’s procurement of data from alternative data sources. Gorham received her J.D. from Northwestern University Pritzker School of Law, her M.A. from Johns Hopkins School of Advanced International Studies, and her B.A. from Spelman College.

Natasha Vij Greiner is director of the SEC’s Division of Investment Management. Immediately before joining the Division of Investment Management, she was the deputy director and national associate director for the Investment Adviser/Investment Company Examination Program, which includes the Private Funds Unit, and associate director of the Home Office IA/IC Examination Program within the SEC Division of Examinations. Prior to these roles, Greiner was the acting chief counsel and an assistant chief counsel in the SEC’s Division of Trading and Markets’ Office of Chief Counsel. Before that, she worked in the SEC’s Division of Enforcement and the Office of Compliance Inspections and Examinations. Greiner earned a J.D. from The Catholic University of America, Columbus School of Law, and a B.S., cum laude, from James Madison University. 

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. 

Michelle L. Jacko, CSCP, is the managing partner and CEO of Jacko Law Group, PC, which offers securities, corporate, and regulatory compliance counsel and litigation services to investment advisers, broker-dealers, hedge and private funds, and financial industry professionals. She is also founder and CEO of Core Compliance & Legal Services, Inc. Jacko specializes in investment adviser, broker-dealer and fund regulatory compliance matters, mergers and acquisitions, regulatory examinations, internal control development, and operational risk management. Her practice focuses on complex matters involving regulatory and business risks, senior and retail client issues, cybersecurity and AI matters, Regulation S-P, policies and procedures, and regulatory examinations and enforcement matters. She received her J.D. from St. Mary’s University School of Law and B.A. from the University of San Diego. 

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. 

Kieran Johal is assistant vice president and counsel at MFS Investment Management, where she serves as principal counsel on ERISA matters related to MFS’ activities as a manager of “plan assets” and as a plan sponsor. Prior to MFS, she was a senior associate in the ERISA and executive compensation practice at Goodwin Procter LLP and counsel at Credit Suisse, where she worked on ERISA, executive compensation, and bank regulatory matters. Johal earned her J.D. from Duke University School of Law and a B.A., cum laude, in Government from Smith College. 

Brian McLaughlin Johnson is an assistant director in the Rulemaking Office in the SEC’s Division of Investment Management. He heads the Division’s Investment Company Regulation Office, which is responsible for rulemaking activities under the Investment Company Act in the Division and provides advice on policy initiatives affecting the asset management industry. Before joining the SEC in 2010, Johnson was an associate at the Washington, D.C. offices of K&L Gates and WilmerHale. He received his B.A. from the University of Delaware and his J.D. from the George Mason University School of Law. 

Jay Johnson is managing director and deputy chief counsel in the Technology, Contracts and Brand Protection Legal Group at Charles Schwab and oversees the legal team handling data privacy and cybersecurity. He also is an adjunct professor at the SMU Dedman School of Law, where he developed and teaches the school’s flagship class on data privacy and cybersecurity law. Previously, he was a partner in Jones Day’s Cybersecurity, Privacy, and Data Protection practice group and an assistant U.S. attorney in the Eastern District of Texas focused on cybercrime, IP theft, and electronic evidence. He earned a B.S. in Mechanical Engineering from Kansas State University, an MBA from MIT Sloan School of Management, and a J.D. from University of Iowa College of Law. 

James Kerr is general counsel and chief compliance officer at Bow River Capital. Prior to joining Bow River Capital, he served as senior counsel at Janus Henderson Investors, associate at the law firm K&L Gates LLP, and assistant vice president/associate counsel at Brown Brothers Harriman & Co. Kerr began his career as a law clerk to the Hon. Janis M. Berry at the Massachusetts Appeals Court and, thereafter, served as assistant district attorney for Middlesex County, Massachusetts. He earned a B.A. in Political Science from Dickinson College and a J.D. from Northwestern University School of Law. 

Satish Kini is a partner at Debevoise & Plimpton, as well as chair of the Debevoise Banking Group and co-chair of firm’s National Security Practice. He counsels a broad range of clients on anti-money laundering and sanctions matters, and he represents clients on these issues in transactional, enforcement and adverse examination contexts. Previously, Kini served in the Legal Division of the Federal Reserve Board as counsel and clerked for Judge Richard Cardamone, U.S. Court of Appeals for the Second Circuit. He received his B.A. magna cum laude from Colgate University and his J.D. from Columbia Law School, where he was a Stone Scholar, an Olin Fellow in Law and Economics, and the Managing Editor of the Columbia Law Review.  

Michael B. Koffler, a partner at Eversheds Sutherland (US) LLP, guides investment advisers, broker-dealers, and investment funds in their compliance with federal/state securities laws and regulations and SRO rules. He advises clients on the full spectrum of business operations, including advertising, portfolio management, trading, internal controls, compliance programs, mergers and acquisitions, and other management issues. He also counsels other financial institutions—banks and insurance companies—on securities issues associated with the management and distribution of investment products. Koffler previously worked at the SEC in the Division of Investment Management. He graduated from Binghamton University with a B.A. in Law and Society and received his J.D. from the University of Pennsylvania Law School.

Joe LaFemina is a director on the Managed Services Solutions Management team at SS&C Advent. In this role, he manages the strategy and business needs for the managed services solutions provided to asset and wealth management firms. Prior to his current role, he was a senior relationship manager on the Customer Success team, where he helped complex asset management clients maximize their investment in SS&C Advent’s suite of products and services. LaFemina joined SS&C Advent in 2015. He holds B.S. degrees in Marketing and Accounting from Syracuse University and an MBA from Babson College. 

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.

Gretchen Lee is chief compliance officer of Clifford Swan Investment Counselors. Immediately before joining Clifford Swan, Lee managed Crown City Compliance, a compliance consultancy firm she founded in 2009. Previously, she was chief compliance officer at Gamble Jones Investment Counsel and an investment associate at Engemann Asset Management. She received her B.A. in Economics from Scripps College in 1992 and frequently volunteers for her alma mater. She particularly enjoyed helping develop curriculum for the college’s Financial Literacy Program.

Carmine Lekstutis is deputy head of US Advisor Legal at JPMorgan Asset Management, where he advises on matters related to JPMorgan’s registered investment company business as well as its retail separately managed account business. He joined JPMorgan Asset Management in 2011. Prior to joining JPMorgan Asset Management, Lekstutis worked as an associate at Skadden, Arps, Slate, Meagher & Flom LLP. He holds an undergraduate degree from Cornell University and a J.D from NYU School of Law. 

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. 

Joseph M. Mannon is a shareholder and co-chair of the Investment Services Group at Vedder Price. He focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds, and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities. He has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. Mannon also spends significant time counseling registered and unregistered investment company boards. He earned his B.A. from Michigan State University and his J.D. from Loyola University Chicago School of Law.

Lori A. Martin is partner in the Securities and Litigation/Controversy departments of WilmerHale, where she is resident in the New York office. She handles regulatory proceedings and litigation on behalf of investment advisers, open and closed-end investment companies, hedge funds, and broker dealers offering investment advisory services. Prior to joining WilmerHale, she was first vice president and assistant general counsel of Merrill Lynch Investment Managers. Martin graduated with honors from the University of Chicago School of Law in 1988, where she was a member of the University of Chicago Law Review. She graduated with honors from Wellesley College in 1985. 

Michael W. McGrath is a partner in Dechert’s financial services practice. He focuses on advising global asset managers in the formation and operation of investment funds, regulatory compliance, and securities and commodities law across a wide range of asset classes and fund structures. He has significant experience advising asset managers on regulatory and transactional matters and frequently works with investment advisers, broker-dealers, and commodity trading advisers on regulatory compliance, examinations, the development of novel investment products, and the implementation of strategic transactions. Previously, McGrath was a partner at K&L Gates LLP, as well as vice president and senior counsel with Allianz Global Investors. He received a J.D. from Duke University and an A.B. from Stanford University. 

Mark McKeever is a director at KPMG LLP. He has more than 20 years of financial services experience, including service as a senior securities compliance examiner with the SEC. Currently, his areas of concentration include a deep knowledge of the U.S. federal securities laws and regulations and their practical applications across various business models within the public investment management, wealth management, and alternative investment industry sectors. He earned a B.A. in Communication Arts from Villanova University, a B.S. in Accounting from Temple University, and an M.S. in Taxation and Finance from Widener University. 

Edward R. McNicholas is a partner and global leader of Ropes & Gray LLP’s data, privacy & cybersecurity practice, focused on clients facing complex IT, constitutional and privacy issues. Recognized by the National Law Journal as a “Cybersecurity & Data Privacy Trailblazer,” he is the lead editor and co-author of “Cybersecurity: A Practical Guide to the Law of Cyber Risk.” McNicholas previously served as an associate counsel to President Clinton and as a clerk on the U.S. Court of Appeals for the Fourth Circuit. He received his J.D. from Harvard Law School, where he was an editor of the Harvard Law Review, and his A.B. from Princeton University.  

A. Valerie Mirko is a partner at Armstrong Teasdale LLP and chairs the firm’s Securities Regulation and Litigation practice. She represents broker-dealers, investment advisers, and private fund advisers in SEC enforcement, examination, and regulatory matters. Her practice focuses on issues related to conflicts of interest, distribution channels and marketing, safeguards and custody, and cybersecurity. Previously, she served as a partner in the financial regulation and enforcement practice of a global law firm; advised broker-dealers and investment advisers in enforcement investigations at a Washington, D.C., law firm; held legal and compliance roles at Oppenheimer & Co. and Merrill Lynch (now Bank of America); and served as general counsel of NASAA. Mirko is a graduate of Wellesley College and George Washington University Law School.

Christopher Mulligan is a partner in Weil’s Private Funds practice, based in Washington, D.C. He represents a wide range of asset managers, as well as middle-market and newly-formed advisers, on various regulatory issues. Mulligan acts as outside regulatory counsel, advising on SEC examinations and investigations, marketing rule compliance, fund formation, mock examinations, SEC registration, Form ADV, Form PF, code of ethics, custody issues, LPA compliance, annual reviews and strategic advice. Before joining Weil in 2024, he spent over a decade at the SEC, most recently as investment adviser/private funds senior advisor and co-coordinator of the SEC’s Private Funds Specialized Working Group. He earned his J.D. from Georgetown University. 

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.

Tram Nguyen is a partner at Mayer Brown, where she advises private equity funds, credit funds, hedge funds, venture funds and other investment funds on all aspects of fund formation, fund structuring and capital raising. She has extensive experience representing asset managers and financial institutions on complex regulatory matters, including registration, examinations and reporting requirements. Previously, Nguyen was the inaugural branch chief of the Private Funds Branch at the SEC Division of Investment Management, where she led the development and implementation of new rules under the Dodd-Frank and JOBS acts for private fund advisers. Nguyen earned a B.A., magna cum laude, from Princeton University, an M.A. from Harvard University, and a J.D. from Columbia Law School. 

Naseem Nixon is chief compliance officer, vice president and senior counsel at Capital Research and Management Company, where she provides counsel and leadership on a range of areas including compliance oversight of advisory activities and operations affecting retail and large institutional clients, U.S. regulatory policy and engagement, and mutual fund governance. Prior to joining Capital Group, Nixon served as a senior policy advisor to the director of the Division of Investment Management at the SEC. Before serving at the SEC, she practiced law as an associate with Eversheds Sutherland. Nixon received her J.D. from Brigham Young University J. Reuben Clark Law School and her bachelor’s degree in Public Policy Studies from Duke University. 

Selwyn Notelovitz is global chief compliance officer and vice president of Dimensional Fund Advisors LP, where he oversees all compliance matters for the firm and its subsidiaries, as well as the firm’s global risk management program. Previously, he was deputy chief compliance officer. Prior to Dimensional, he was the global chief compliance officer at Wellington Management Company LLP; a global chief compliance officer at Charles Schwab; chief compliance officer and senior vice president of global corporate and investment banking for Bank of America; and a branch chief at the SEC. Notelovitz earned a B.A. and J.D. from the University of Florida, and an LL.M. from Georgetown University Law Center.  

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. 

Mike Pappacena is a partner at ACA Aponix, ACA Group’s cybersecurity and risk division, where he provides leadership for division initiatives, mentoring and guidance of staff, and vision for future planning and growth. He serves as a team leader in providing cybersecurity risk assessments, vendor due diligence, policy authoring, staff training, and product development. Prior to ACA, Pappacena served as a project manager for Jefferies LLC and worked on several compliance initiatives. He spent 15 years at Goldman Sachs as a vice president in the Technology division, where he managed development teams, as well as the Fundamental Equities and Alternative Investments technology in the GSAM division. He a bachelor degree in electrical engineering from the Pratt Institute and his MBA from Adelphi University. 

SEC Commissioner Hester M. Peirce was sworn in on January 11, 2018. Prior to the SEC, Peirce researched the regulation of financial markets at the Mercatus Center at George Mason University. She was senior counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and others on securities issues. She was also previously counsel to SEC Commissioner Paul S. Atkins, staff attorney in the SEC’s Division of Investment Management; an associate at Wilmer, Cutler & Pickering (now WilmerHale); and clerked for Judge Roger Andewelt on the Court of Federal Claims. Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her J.D. from Yale Law School. 

Ana D. Petrovic, Esq., is a director in the Financial Services Compliance and Regulation practice of Kroll, based in Los Angeles. She brings over a decade of diverse experience at the SEC to servicing her clients on financial services and regulatory matters. Petrovic provides strategic guidance, effective solutions, and proactive measures tailored to clients’ needs arising from investigations, examinations and other high-stakes challenges. Prior to the SEC, she was a litigation associate at major international law firms and an adjunct professor at the University of Illinois at Chicago. Petrovic holds a B.A. in English Literature, summa cum laude, from the University of Illinois at Chicago and a J.D., magna cum laude, from the University of Illinois College 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. 

Erin Preston is the chief compliance officer for Wedbush Securities, a full-service broker-dealer and registered investment adviser. She has also served as the firm’s anti-money laundering (AML) compliance officer and currently has oversight of the firm’s AML program. With over 17 years’ experience as a legal and compliance professional, Preston has held various senior level compliance roles on the sell-side and buy-side, responsible for transforming and enhancing compliance programs. She earned a B.A. in international relations and affairs from The Ohio State University and a J.D. from the Elisabeth Haub School of Law at Pace University. 

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. 

Aliya Robinson is director of congressional affairs for T. Rowe Price, leading the Legislative and Regulatory Affairs team’s work on all retirement-related public policy issues, which includes highlighting emerging retirement and compensation issues, coordinating the company’s policy position, and engaging with industry associations, policymakers, and thought leaders. Robinson previously served at The ERISA Industry Committee and the U.S. Chamber of Commerce. In these roles, she advocated for retirement legislation and testified on retirement and compensation issues before Congress, the Department of Labor, and the Department of Treasury. Robinson earned a B.A. in Economics and African studies from Yale University and a JD and MLA in Taxation from New York University School of Law. 

Seth Rosenbloom is general counsel of Betterment, where he oversees Betterment’s legal and compliance teams. He is deeply involved in Betterment’s advocacy before regulators and policymakers. Prior to joining Betterment in 2015, Rosenbloom worked at Davis Polk, where he was responsible for a range of litigation and regulatory matters. He also previously served as a law clerk for a federal judge. Rosenbloom serves as co-chair of the IAA’s Digital Advisers Committee. Seth holds a J.D from Columbia University School of Law and a bachelor’s degree in Human Biology from Stanford University. 

Dave Rouse is a principal and chief compliance officer at GW&K Investment Management, LLC, with responsibility for managing the firm’s compliance program and is involved with various firm-wide risk management efforts. He is a member of various operating committees at GW&&K including the Investment, Brokerage, Cybersecurity/Business Continuity & Disaster Recovery, ESG, Proxy Voting and Valuation Committees. Most recently, Rouse served as GW&K’s director of compliance and risk management. Prior to joining GW&K, he held various related roles at Wellington Management Company and Fidelity Investments. Rouse received a B.A. in Sociology from St. Lawrence University. He is a member of the Greater Boston Chamber of Commerce Financial Services Leadership Council and is active in investment management industry organizations. 

Corey Schuster is co-chief of the SEC Enforcement Division’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. Schuster began at the SEC as a staff attorney in 2010 and became an assistant director in 2016. Prior to the SEC, he worked for the law firms of Schulte Roth & Zabel LLP and Dickstein Shapiro LLP, and he previously served as an adjunct professor of law at Georgetown University Law Center. He received his bachelor’s degree from the University of Michigan and his law degree from Vanderbilt University. 

Robert Shapiro is an assistant director in the Chief Counsel’s Office of the SEC’s Division of Investment Management, where he oversees the provision of guidance relating to the Investment Advisers Act and the Investment Company Act. Prior to serving in his current role, Shapiro has, at different times, served as a branch chief in both the IM Liaison Office and the Chief Counsel’s Office. He has also served as vice president, corporate counsel to Prudential and as an associate in the office of Ropes & Gray LLP. Shapiro earned his B.S. in Political Science and History from the University of Illinois at Urbana-Champaign, and his J.D. from the University of Virginia School of Law. 

Michael L. Sherman is a partner at Fried, Frank, Harris, Shriver & Jacobson LLP, where he provides counsel to investment advisers, investment funds, and other financial institutions on regulatory, corporate, and compliance matters. Sherman focuses his practice on investment adviser registration, investment company status questions, and regulatory issues and examinations. He also provides expert advice on non-standard asset classes such as CLOs, real estate and tax credit, specifically applying the Investment Advisers Act and the Investment Company Act. Sherman also has experience in connection with the risk retention rules for CLO sponsors. He holds a B.A., cum laude, from American University and a J.D. from Vanderbilt University Law School. 

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. 

Marc Stewart is the chief compliance officer for the Brokerage, Advice, and Wealth Management businesses at the Vanguard Group, bringing over 25 years of financial services experience, the last twenty of which has been spent within compliance. Previously, Stewart was the CCO for the Charles Schwab & Co. investment advisory business and held titles as the CCO for wealth management as well as the deputy CCO for the Investment Companies managed by Charles Schwab Investment Management. Earlier experience includes various roles at other investment advisers including as the global head of investment compliance at Janus Henderson Investors, and time spent at OppenheimerFunds in various finance roles. He holds a B.S. in Finance from the University of Colorado Denver. 

Steven W. Stone is a partner at Morgan Lewis. He is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. As head of the firm’s financial institutions practice, he counsels U.S. broker-dealers, investment banks, investment advisers, and mutual fund organizations. He regularly represents clients before the SEC and FINRA, both in seeking regulatory relief and assisting clients in enforcement or examination matters. He earned a B.A. from Bates College, and a J.D. from The George Washington University Law School and is a member of the D.C. Bar. 

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.

Cathy Vasilev is chief customer officer and co-founder of Red Oak Compliance. With more than 25 years in the financial services industry, Vasilev is a seasoned compliance expert and leader. Since co-founding Red Oak in 2010, she has leveraged her extensive experience across independent broker-dealers, wire-house broker/dealers, and RIAs to provide tailored compliance and technology solutions focused on effective risk management. Vasilev holds a Master’s degree in Business Management and is an active member of the National Society of Compliance Professionals and the Compliance and Anti-Money Laundering Professionals Association. She has previously held FINRA Series 7, 24, 26, and 63 licenses, as well as Life and Health certifications. 

Kimberly Versace is chief compliance officer at National Real Estate Advisors, LLC, where she is responsible for implementing and overseeing all aspects of the firm’s compliance program. She has extensive experience advising SEC-registered investment advisers on regulatory and compliance matters. Previously, she served as chief compliance officer for an emerging markets hedge fund adviser and as lead consultant to a wide range of investment adviser clients for a leading regulatory consulting firm. She spent much of her career practicing law in the securities regulation practice of a boutique law firm, with a focus on investment adviser regulation and compliance. Versace holds a B.A. in Modern Language, Politics from Fairfield University and a J.D. from Fordham University School of Law. 

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. As a former regulator, 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. 

Rana J. Wright is partner and chief administrative and legal officer of Harris Associates, responsible for managing the firm’s legal, compliance, people, risk, and regulatory functions globally. She is also the principal executive officer and president of the Oakmark Funds. Previously, she served as the chief legal officer for BofA Global Capital Management, the proprietary asset management arm of Bank of America and was an associate and partner at Reed Smith LLP, where she counseled clients on regulatory, strategic, and transactional issues and served as vice-chair of the firm’s Global Diversity and Inclusion initiative. She earned a B.A. from the University of Pittsburgh and a J.D. from Duquesne University School of Law.

Steven A. Yadegari is the founder and CEO of FiSolve, an outsourced provider of COO, general counsel, and CCO services. Yadegari has more than 20 years of experience in the industry, including senior roles with the SEC, large national law firms, and a leading money management firm. He is director of an Irish UCITS fund complex, a contributor to the SEC’s Asset Management subcommittee for Small Advisers and Funds, an adjunct professor of law at the Cardozo School of Law, and former president of the NY chapter of the Association for Conflict Resolution. He has also trained staff in the SEC’s Enforcement Division and presents at the SEC’s Chief Compliance Outreach programs. 

Zephram J. Yowell is an executive 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 oversees U.S. regulatory interactions. Yowell joined PIMCO in 2009. 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.