Colin Hill

Experience

• 

  U.S. Securities and Exchange Commission

  May 2016 - Aug 2016

  Honors Student Intern

  - Worked in the Office of Compliance Inspections and Examinations (OCIE) in the Investment Adviser and Investment Company Division. - Participated in an infield exam of a local investment adviser firm. Participated in interviews of the CEO and CCO, as well as reviewed account statements and investment adviser firm financials for discrepancies. - Conducted risk analysis for over 30 investment adviser firms for the national share class exam initiative. Developed recommendations to superiors on which investment adviser firms should be examined based on the risk analysis.- Collaborated with a senior examiner on a new investment company exam initiative. Identified certain risk criteria of the investment companies and developed a formula to evaluate and rank risk of the investment companies based on such criteria. Presented risk findings to the department head and obtained approval to continue the project. - Audited fees to determine if investment adviser firms were correctly applying their tiered fee system to their clients.- Participated in multiple staff training and educational seminars focused on risk related areas in the financial industry. Show less

• 

  Kissel, Kohout, E&S Associates

  Jan 2017 - Apr 2017

  Legislative Intern

  - Attended all Judiciary and Banking & Commerce legislative committee meetings.- Recorded all relevant committee discussion and Senator positions during committee meetings.- Prepared reports on the status of current bills for use by the Kissel clients. - Assisted in hosting mixer events for Kissel clients to talk to various legislative and industry participants.

• 

  Cambridge Investment Research, Inc.

  May 2017 - Aug 2017

  Compliance Intern

  - Served on the broker dealer compliance team and learned how a large-scale compliance team operates. - Attended due diligence meetings to decide what securities would be offered and representative selection meetings to determine if a representative would be approved for affiliation.- Assisted in preparing information and responses to regulatory authorities such as FINRA and the SEC. - Utilized the trade review platform to generate reports looking for “front running” and “cherry picking” patterns. - Worked with the compliance technology team to implement new rules to catch improper trading. Show less

• 

  Kissel, Kohout, E&S Associates

  Aug 2017 - May 2018

  Government Relations Intern

  - Attended and prepared detailed reports of Nebraska legislative hearings. - Managed all firm social media, website updates, and newsletters. - Directed and lead all other interns that are hired on to cover committee hearings.- Handled the billing for all of the firm clients.

• 

  RIA Compliance Consultants, Inc.

  Jun 2018 - Aug 2019

  Compliance Consultant

  - Led numerous foreign and domestic investment adviser firms through registration with the S.E.C. andstate securities regulators.- Assisted clients in developing compliance programs tailored to their specific service offerings and ensure compliance with the Investment Advisers Act of 1940 and applicable state rules.- Conducted mock regulatory reviews to assess the effectiveness of clients’ compliance programs.- Developed heightened supervision plans for investment adviser representatives with disciplinary histories.- Drafted dozens of regulatory documents such as Form ADV Part 1, Part 2A, Part 2B, Wrap Fee Brochures, Form U4s and U5s.- Created communication strategies and composed client correspondence with federal and state regulators. Show less

• 

  U.S. Securities and Exchange Commission

  May 2020 - Jul 2020

  Enforcement Intern

  Summer legal intern in the Asset Management Unit of the Division of Enforcement in the D.C. Office of the Securities and Exchange Commission.

• 

  Washington University Jurisprudence Review

  Aug 2020 - May 2022

  Staff Editor
• 

  FINRA

  Jun 2021 - Aug 2021

  Enforcement Intern
• 

  U.S. Securities and Exchange Commission

  Aug 2021 - Nov 2021

  Office of The General Counsel Intern
• 

  Seward & Kissel LLP

  Sept 2022 - Sept 2024

  Associate
• 

  BlackRock

  Sept 2024 - now

  Vice President - U.S. Registered Funds Legal