Experience

• 

  Fisher investments

  Aug 2004 - Jun 2007

  Compliance associate

  Hired for the position of a Client Account Coordinator, was quickly promoted to Review Specialist, and then Compliance Associate reporting directly to the firm’s CCO.

• 

  Conifer securities, llc

  Jun 2007 - Jun 2008

  Aml compliance officer, principal

  Provided compliance consulting to 12 private fund managers in a fast-pace results driven environment and also served as the Firm's Anti-Money Laundering Officer.

• 

  Highland capital management, l.p.

  Jun 2008 - Nov 2010

  Compliance manager

  Compliance Manager with an SEC registered investment adviser with $22bn in AUM, reporting to the Chief Compliance Officer and Head of Retail Products. Responsible for the compliance oversight of the firm’s retail fund business; the Highland Funds Complex with over $2bn in AUM. Serve as the compliance liaison between the Board of Directors and the CCO. Actively involved in business development and new fund formation process.

• 

  Nexbank securities, inc.

  Jan 2009 - Dec 2010

  Chief compliance officer, board member

  Provided compliance program implementation and oversight for a privately held broker-dealer with 18 employees. Interacted with employees, legal counsel, senior management, regulators and consultants. Coordinated all quarterly meetings of the Board of Directors.

• 

  Pwc

  Jan 2011 - Dec 2012

  Manager, financial services regulatory practice

  Financial Services Regulatory Practice, Asset ManagementProvided regulatory consulting services to hedge funds, private equity firms, mutual funds, broker dealers and traditional asset managers. Clients include both private and publicly traded financial services firms.

• 

  Kkr

  Dec 2012 - Jan 2016

  Deputy chief compliance officer

  Deputy Chief Compliance Officer for KKR's Hedge Fund Platform- KKR Prisma Fund of Funds, Seeding/Stakes and Co-Investments business.

• 

  Cvc

  Jan 2016 - Aug 2024

  Global Chief Compliance Officer and SMF 16 for CVC Credit Partners, Credit arm of CVC, the EU Private Equity Firm. Established in 2006, CVC Credit has $45 billion in AUM across two main strategies, Performing and Private Credit. Manage a global team of 10 across Compliance, ESG and Expense Allocation. Head of CVC Credit's ESG Program since 2017.

  • Managing Director, Global Chief Compliance Officer, Head of ESG

    Jan 2018 - Aug 2024

  • Director, Global Chief Compliance Officer

    Jan 2016 - Jan 2018
• 

  Cvc funding, llc

  May 2020 - Jul 2024

  Chief compliance officer, securities principal

  CCO of CVC's US Broker-Dealer, overseeing private fund distribution and capital markets activities. FINRA S7, S24, S63 licenced.