Robert Baker, CFA, is the co-lead of ACA’s Mock Examination Team. Before joining ACA in October 2024, Baker had various leadership roles in the Examination and Enforcement Divisions at the SEC, including as a founding member of the Enforcement Division’s Asset Management Unit (AMU). In AMU, he was the architect of several sweeps and risk-based initiatives, and he co-chaired the SEC Boston Regional Office’s Examination and Enforcement referral committee. Baker earned an undergraduate degree from the University of Minnesota and a law degree from Harvard Law School. During his time with the SEC, Baker also earned a graduate Certificate in Advanced Financial Planning from Bentley University. (Speaking at the Virtual and Boston workshops)
Nick Batinich, CFA, is a partner in the U.S. Regulatory Compliance division in ACA Group, where he provides compliance consulting services to investment advisers and performs mock SEC audits, compliance program reviews, registrations and SEC examination support projects for clients. He has also participated in or led the development of numerous programs at ACA, including co-launching and leading ACA’s Hedge Fund Practice for many years. Prior to ACA Group, Batinich was an examiner and staff accountant at the SEC’s Midwest Regional Office. He graduated cum laude from Northern Illinois University with a B.S. in Finance and a minor in Marketing. (Speaking at the Chicago workshop)
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, D.C. 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 Law School in Los Angeles, where she was an editor of the Law Review. (Speaking at the Virtual workshop)
Kristin Burnett is Chief Compliance Officer at Human Interest Advisors (HIA), where she leads development and execution of the firm’s compliance program. She brings thirty years of regulatory compliance experience across investment managers, broker-dealers, commodity registrants, and banking institutions. Before joining HIA, Kristin held compliance leadership roles at Russell Investments and Protego Trust Bank, where she built and managed compliance programs within complex, highly regulated environments. Her counsel has been central to HIA’s ability to scale responsibly as it continues its rapid growth. Kristin holds a Bachelor of Science in Legal Studies and maintains several industry licenses, including the FINRA SIE and Series 7, 24, 65, 63, 53, and 14. (Speaking at the Virtual workshop)
Lance Dial is a partner at K&L Gates and a member of the Asset Management and Investment Funds practice. Dial advises clients on compliance and regulatory matters under the Investment Company Act of 1940, the Investment Advisers Act of 1940, ERISA, and other related federal securities laws. He has significant experience with the regulation of marketing and advertising of investment products, integration and marketing of Environmental, Social, and Governance (ESG) investment products and trading and market structure issues. He has worked extensively on regulatory policy matters with various financial services regulators, including the U.S. Securities and Exchange Commission, U.S. Department of Labor, Internal Revenue Service, and U.S. Department of Treasury. He received his B.A. from the University of Georgia, and his MBA and J.D., cum laude, from Boston University. (Speaking at the Boston workshop)
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. (Speaking at the Chicago workshop)
Marshall Gandy is co-national associate director of the SEC’s Investment Adviser/Investment Company examination program, where he helps oversee more than 630 lawyers, accountants, and examiners responsible for regulating SEC-registered investment advisers and investment companies. He also serves as Associate Regional Director for Examinations in the SEC’s Fort Worth Regional Office. Since joining the SEC in 1999, he has held leadership roles in both examinations and enforcement, following service as Senior Regional Counsel at FINRA’s Dallas District Office, Presiding Judge, and Assistant District Attorney in Dallas County. Gandy earned his J.D. from Southern Methodist University and his bachelor’s degree from Sam Houston State University. (Speaking at the Virtual workshop)
Louis Gracia is associate director of the Investment Adviser/Investment Company examination program in the SEC’s Chicago Regional Office. He has been in this role for five years and with the SEC for over 31 years, during which time he has led and supervised numerous examinations of investment advisory firms and mutual fund complexes. Gracia has spoken at several previous SEC Compliance Outreach events, NASAA conferences, NSCP conferences, IAA workshops and National Examination Program training courses. He has also represented the SEC at numerous staff recruitment and investor outreach events. Gracia holds a B.S. in Accounting from the University of Illinois at Chicago, as well as a CPA license in the state of Illinois and the CFE designation. (Speaking at the Chicago workshop)
Natasha Vij Greiner is chair of WilmerHale’s Investment Management practice. With more than two decades at the SEC, Greiner held senior roles across four agency divisions, most recently serving as director of the Division of Investment Management, where she led a team regulating the asset management industry and oversaw major policy and rulemaking initiatives. She previously served as acting co-director and deputy director of the Division of Examinations and national associate director of the Investment Adviser/Investment Company examination program, including the Private Funds Unit. She also served as acting chief counsel and assistant chief counsel in the Division of Trading and Markets and held positions within the Division of Enforcement—including the Asset Management Unit. 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. (Speaking at the New York workshop)
Laura L. Grossman is associate general counsel of the IAA. She has more than 25 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. (Speaking at the Chicago workshop)
Kate Hanniford is a partner at Baker McKenzie. In this role, she advises multinational companies on privacy and security issues across the data life cycle, including designing and implementing enterprise-wide privacy and security programs, compliance strategies, transactional privacy matters and regulatory enforcement. Her work includes cybersecurity governance and responding to complex security incidents, as well as advising on emerging legislative and regulatory developments. Hanniford has led large-scale incident responses involving public issuers, financial institutions, healthcare companies, broker-dealers and investment advisers, and handled major breaches. She advises securities industry clients on SEC and FINRA compliance, including SEC (OCIE) examination preparation and enforcement matters, Regulation SCI, and cybersecurity preparedness. (Speaking at the Virtual Workshop)
Jessica Huelbig is a partner in ACA Global’s U.S. Regulatory consulting practice and deputy head of private funds. Her primary responsibilities include managing a team of compliance consultants and oversight and coordination of client relationships and projects, including mock SEC inspections, gap analyses, and compliance program reviews, assisting firms with SEC registration and ERA filings, assisting firms with SEC examinations, and developing customized policies and procedures for investment advisers, including large diversified financial firms, hedge fund managers, and private equity firms. She holds a B.S. in International Business from the University of Scranton. (Speaking at the New York workshop)
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. (Speaking at the Chicago and New York workshops)
Yana Karalnik is chief compliance officer at Trillium Asset Management. She has more than 20 years of industry experience and has previously worked as a CCO at Amundi Asset Management, director of compliance/deputy CCO at Manulife Asset Management, and a compliance officer at Lee Munder Capital Group. Karalnik holds a B.A. from Cornell University, and an M.A. from Georgetown University. (Speaking at the Boston workshop)
Maurya Crawford Keating is associate regional director of the Investment Adviser/Investment Company examination program in the SEC’s New York Regional Office. She joined the Division of Examinations in 2018 as co-head of the NYRO Investment Adviser/Investment Company unit. Keating also served as acting head of the NYRO Broker-Dealer/Exchange unit and as co-acting regional director of NYRO. Previously, she was lead director and associate general counsel in the National Compliance Office of AXA Equitable Life Insurance Company; vice president, chief broker-dealer counsel, and investment advisor CCO of AXA Advisors, LLC; and associate general counsel at New York Life Insurance Company and Royal Alliance Associates, Inc. Keating received her J.D. from St. John’s University School of Law and her B.A. and M.A. from The Catholic University of America. (Speaking at the New York workshop)
Kevin M. Kelcourse is associate regional director for the Division of Examinations in the SEC’s Boston Regional Office. He leads a staff that conducts inspections and examinations of investment advisers, investment companies, hedge funds, private equity funds, broker-dealers, municipal advisers, transfer agents, and other securities firms in New England. He is also currently serving as acting co-regional director for the office. Kelcourse previously worked for the Division of Enforcement, including as assistant director in the Division’s Asset Management Unit. Prior to the SEC, he was a federal prosecutor with the Justice Department and an associate with O’Melveny & Myers. He is a graduate of Georgetown University Law Center and Georgetown University. (Speaking at the Boston workshop)
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. (Speaking at the New York workshop)
A. Kristina Littman is a partner in Willkie Farr & Gallagher LLP’s Litigation Department, co-chair of the Willkie Digital Works practice, and a member of the Securities Litigation & Enforcement Practice Group. Littman represents corporations, registrants, and individuals in complex disputes, including regulatory enforcement and white-collar defense. She also counsels clients on cryptocurrency and digital assets regulation and cybersecurity matters, including investigations and enforcement actions by financial regulators. She earned a B.S. from Florida State University and an MBA and J.D. from Rutgers University. (Speaking at the Chicago workshop)
Pablo Man is a partner in K&L Gates LLP’s Asset Management and Investment Funds practice. Man counsels investment advisers ranging from emerging managers to large global firms on all aspects of their operations, including on regulatory matters and SEC examinations. Among other things, he guides clients on matters relating to custody, recordkeeping (including electronic records), trading, principal and cross-transactions, best execution, performance advertising, fiduciary duty and conflicts. Man also has a significant practice counseling clients with respect to incorporating generative AI into their advisory business. He earned a B.A. from the University of Virginia and a J.D. from Suffolk University Law School, magna cum laude. (Speaking at the Boston workshop)
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 to asset managers 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. (Speaking at the Virtual workshop)
Jennifer Porter is a partner in Willkie Farr & Gallagher LLP’s Asset Management Department. Based in the firm’s Washington, D.C. office, she provides advice to asset managers, including registered investment advisers, mutual funds, ETFs, and private funds on a variety of legal, regulatory and compliance matters. Porter is a former Assistant Director in the Division of Investment Management at the U.S. Securities and Exchange Commission and also served in a variety of other roles at the SEC throughout her career, including as a senior policy advisor for two of the Division of Investment Management’s directors and a senior advisor for Chair Mary Jo White. She holds a B.A. from Middlebury College and a J.D. from University of Maryland School of Law. (Speaking at the Chicago workshop)
David 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. (Speaking at the Boston workshop)
Valerie Ruppel is the chief compliance officer of IMA Advisory Services, Inc. Previously, Ruppel was an attorney-advisor in the SEC Division of Examinations, where she conducted examinations of registered investment advisers for compliance with federal securities laws, rules, and regulations. She also served as head of U.S. regulatory consulting for Bovill, a UK based consulting firm, vice president and senior counsel at ALPS Fund Services, and counsel at Empower. She holds a B.A. in Philosophy from Pepperdine University and J.D. from the University of Denver – Sturm College of Law. (Speaking at the Virtual workshop)
Shamoil T. Shipchandler is chief counsel for the Risk and Regulatory Legal Group at Charles Schwab Corporation. In the role, he oversees litigation and arbitration; enforcement and regulatory proceedings; internal investigations; employment law; and risk governance. Previously, he served in senior leadership positions at both the U.S. Securities and Exchange Commission and the U.S. Attorney’s Office for the Eastern District of Texas. Prior to joining Charles Schwab, Shipchandler was a partner in the Investigations and White Collar practice group at Jones Day. He is also an adjunct professor teaching White Collar Criminal Law; Data Privacy & Cybersecurity; and Ponzis, Pyramids & Plots at SMU’s Dedman School of Law. Shipchandler holds a B.S. from Middlebury College and his J.D. from Cornell Law School. (Speaking at the Virtual workshop)
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, Soehle 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. (Speaking at the Boston workshop)