Atlanta Workshop Speakers
John P. Sweeney is the Strategic Risk Coordinator in the SEC’s Atlanta Regional Office. Prior to joining ARO, John was an Exam Manager in the SEC’s Washington, DC Office and focused on Investment Adviser/Investment Company examinations. Before joining the Commission, John served in the private sector in various capacities, including roles as a Controller and Compliance Manager for a Boston-based private fund adviser and Compliance Officer at global hedge fund administrator in New York. He also served in several roles at a large mutual fund complex. John received a Bachelor of Arts degree in Economics from the University of Massachusetts.
Samara Ross joined the Atlanta Regional Office of the SEC’s Office of Compliance, Inspections and Examinations in August 2007 as a staff accountant. She became an examination manager in February 2012. She has been in her current role since September 2017 where she oversees examinations of investment advisers and investment companies located in the 5-state region of Georgia, Alabama, North and South Carolina and Tennessee. Prior to joining the SEC, Samara was an Inspections Specialist with the Public Company Accounting Oversight Board. Her responsibilities included overseeing audits of public companies in order to protect the interests of investors and further the public interest in the preparation of informative, accurate and independent audit reports. She has also worked as a Financial Services Assurance Manager with PricewaterhouseCoopers in Atlanta, GA and Baltimore, MD. Her responsibilities included auditing capital markets, investment management, banking and insurance entities. Samara, a certified public accountant in DC, has earned a B.S. and a Master of Business Administration with a concentration in accounting from Florida A&M University.
Dan Campbell is a Partner with ACA Compliance Group and provides compliance consulting services to investment advisers including hedge fund, private equity, real estate, credit fund, family office, investment company, and other registered and unregistered advisers. He manages and conducts compliance program reviews and mock SEC inspections to assist firms in identifying and addressing their unique compliance and operational risks. Dan also helps clients write customized compliance manuals, reviews trading activity and disclosure documents, conducts forensic testing on various risk areas, and prepares investment advisers for registration with the SEC. Dan also acts as the compliance and regulatory liaison to ACA’s Technology division in regard to ACA’s ComplianceAlpha® regulatory technology solutions. Prior to joining ACA in 2011, Dan served as Assistant Regional Director at the SEC’s Atlanta Regional Office. Dan earned his BBA degree from James Madison University and received his MBA from Emory University’s Goizueta Business School.
Steve Councill is a partner at Rogers & Hardin LLP where he focuses on representing clients in SEC, DOJ, FDIC, FINRA, and other governmental and regulatory examinations, investigations, and enforcement actions and in related private litigation. Steve regularly advises investment advisers, banks, broker-dealers, and other financial services organizations and professionals on regulatory compliance, registration and data security. Prior to joining Rogers & Hardin in 2003, Steve served as a Branch Chief in the Securities and Exchange Commission's Enforcement Division in Atlanta where he supervised a group of attorneys and accountants who conducted investigations of possible securities law violations.
Denise Lollis, IACCP is a Principal, Chief Operating Officer and Chief Compliance Officer at Greenwood Capital. She joined Greenwood Capital in 2013. Ms. Lollis began her career with Greenwood Capital’s affiliate, TCB Corporation, where she managed shared corporate services for the TCB family of companies. During her 20 year tenure at Countybank, TCB Corporation’s wholly-owned community banking subsidiary, Denise held various roles, including Information Security Officer, Bank Security Act Officer, Privacy Officer; and had oversight for Information Technology, Deposit Operations, Branch Administration, Human Resources, Marketing, and Facilities Management. She received her B.A. and B.S. from Lander University. She has holds the NRS Investment Adviser Core Compliance Certificate.
Henry Lindemann is a Managing Director at ACA Aponix, the Cybersecurity, Privacy and Technology risk division of ACA Compliance Group. Prior to ACA, Henry served as the Director of North America at KELA Group. Before that, he was an Associate Director at Eze Software Group. Henry earned his Bachelor of Arts degree from the University of California in Global and International Studies.
Laura L. Grossman is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Laura 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. She received a J.D. from the University of Pennsylvania, where she was a senior editor on the Journal of International Economic Law, and a B.A., summa cum laude, from Rutgers College. Laura is a member of the bar in New York, New Jersey and the District of Columbia.
Thanks to Our 2019 Workshops Sponsor
ACA Compliance Group (ACA)
is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA services and develops its products with a team comprised of former SEC, FINRA, FSA, NYSE, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. www.acacompliancegroup.com