Shifting Tides: What’s on the Minds of CCOs, Industry Concerns, and SEC Focus

Speakers

• 

  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.

• 

  Ariana Monchick Managing Director, Salus GRC
  

  Ariana Monchick

  Managing Director, Salus GRC

  Ariana serves as a Managing Director at Salus GRC and has nearly 20 years of experience helping investment advisers navigate through regulatory compliance matters. Prior to moving to the consulting side of compliance in 2018, Ariana served as an Advisory Chief Compliance Officer at Cetera Financial Group, one of the largest families of independent registered investment advisers and broker-dealers in the United States, and served on the organization’s Risk Committee. She also served as Chief Compliance Officer for a mid-size retail and institutional registered investment adviser that utilized artificial intelligence as part of the investment management process. Ariana started her career in compliance at Avenue Capital Group, a global private equity firm and hedge fund. She specializes in compliance consulting services for retail wealth managers, institutional advisers, dual-registrants and hybrid and breakaway advisers.

  Ariana formerly held the Series 7, 24, 53 and 66 licenses, as well as the Investment Adviser Certified Compliance Professional (IACCP) designation. She earned a Bachelor of Science in Finance from the University of Central Florida and attended Pace University School of Law. Ariana is based out of West Palm Beach, Florida and is a die-hard Miami Dolphins fan.

• 

  Jacqueline Hallihan Chief GRC Officer, Salus GRC
  

  Jacqueline Hallihan

  Chief GRC Officer, Salus GRC

  Jackie is a pioneer in the compliance consulting industry, with a proven track record as an entrepreneur who founded multiple regulatory compliance and technology companies, including a founding partner at Ascendant Compliance Management and founder and CEO of National Regulatory Services. She brings over 30 years of experience, and most recently served in an Executive Director role in compliance services within a RegTech firm. As Chief GRC Officer at SalusGRC, she is responsible for spearheading Salus GRC’s global GRC strategies, with a focus on maximizing growth opportunities. She is a founder and life-time member of the National Society of Compliance Professionals (NSCP).

• 

  Gena Dirani Managing Director, Salus GRC
  

  Gena Dirani

  Managing Director, Salus GRC

  Gena joins Salus GRC as a Managing Director in the Regulatory Compliance practice. She brings nearly a decade of experience advising private fund managers and RIAs across asset classes with significant involvement in digital asset compliance. Most recently, she was a Director at Optima Partners, where she led the development and oversight of the firm’s digital asset compliance offering and supported private equity, venture capital, real estate, and other private fund advisers through SEC registration, program implementation, and regulatory exams.

  Previously, Gena managed SEC compliance programs in-house at two private equity firms and was responsible for both SEC and FCA compliance at a real estate-focused asset manager. She began her career at Ascendant Compliance Management, assisting private fund and wealth managers with all aspects of regulatory compliance.

  She holds a BS from Michigan State University’s James Madison College, a JD from Suffolk University Law School, and an LL.M. in Banking and Financial Law from Boston University. Gena is licensed to practice law in Massachusetts and Nevada.