NSCP Happy Hour

Speakers

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  Allison Fraser Managing Director, Salus GRC
  

  Allison Fraser

  Managing Director, Salus GRC

  Allison is a Managing Director at Salus GRC with over 25 years of compliance and consulting experience. She works with investment advisers, registered investment companies and private investment funds to develop tailored compliance programs, evaluate their controls and assist with regulatory examinations. The services she provides include conducting annual compliance program reviews and testing, developing risk assessments, conducting due diligence reviews of sub-advisers and service providers, and assisting with regulatory examinations. She also works with clients to develop appropriate policies and procedures, conduct annual and focused compliance and ethics training, and prepare regulatory filings. Allison is an experienced chief compliance officer who currently serves as the outsourced CCO of a private fund investment adviser and previously was the CCO of registered investment companies.

  Prior to joining Salus GRC, Allison was Director-Institutional and Registered Investment Company Services of the Compliance Services practice at Confluence (formerly Ascendant Compliance Management). There, she led a team of consultants in providing compliance solutions to clients. Before Confluence, she was a Senior Vice President of Compliance at Northern Trust Asset Management (NTAM). In this capacity, she managed and administered the compliance due diligence program for NTAM’s multi-manager solutions and outsourced Chief Investment Officer programs, which included over 300 sub-advisers consisting of investment advisers, private funds and registered investment companies. Additionally, Allison served as the Chief Compliance Officer of two registered funds of hedge funds advised by NTAM. Earlier in her career, Allison served as the Compliance Director of General Motors Asset Management where she assisted with the administration of the compliance program for this registered investment adviser and its affiliated private fund adviser.

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  Matt Calabro Managing Director, Salus GRC
  

  Matt Calabro

  Managing Director, Salus GRC

  Matt Calabro is a Managing Director at Salus GRC. His broad compliance, operations and consulting experience enables him to help organizations make compliance a strategic asset. He works with firms to develop compliance programs, conduct risk assessments and exams and implement control improvements. He has specific expertise on compliance matters relating to investments and trading for equities and fixed income, including CLOs and structured credit. Matt is an experienced chief compliance officer, having served as CCO for registered mutual funds, investment advisers and UCITS funds, both in an in-house and outsourced capacity.

  Before joining Salus GRC, Matt was Executive Director and co-head of the Compliance Services practice at Confluence Technologies (formerly Ascendant Compliance Management). There, he was responsible for all aspects of the business, including business development and leading a team of consultants in client delivery. Prior to that, he was Deputy CCO at Macquarie Investment Management, where he led the daily activities of the firm’s compliance department and oversaw improvements in the compliance program and technology. Before Macquarie, Matt spent 20 years in Raymond James’ asset management business in a variety of compliance, operations and financial executive roles, and ultimately led mutual fund operations. Matt began his career as an auditor at Price Waterhouse.

  Matt earned his B.S. in Accounting and Master of Accounting from the University of Florida. He is a Certified Public Accountant.