Marianne retired from Wilmer, Cutler, Pickering, Hale and Dorr in June 2009. At WilmerHale she represented investment advisers and broker-dealers. She joined WilmerHale as a partner in 1993 after serving as Director of the Securities and Exchange Commission's Division of Investment Management for 2.5 years. She served as Executive Assistant to SEC Chairman Richard C. Breeden in 1990. In the 1980s, Mrs. Smythe was a Professor of Law at the University of North Carolina at Chapel Hill and from 1984 to 1987 was Assistant Provost of the University.

Mary Jo has been a member of the DuPont Legal Department since 1972 where her current responsibilities include leading the employee benefit practice group with a focus on ERISA compliance and litigation. She is also the Chief Compliance Officer and legal counsel for DuPont Capital Management. From 2001-06, she was an adjunct professor at Widener Law School in Wilmington, teaching ERISA, Pensions and Deferred Compensation.

Barry joined Willkie Farr & Gallagher LLP in February 2006 as a partner and head of the firm’s Asset Management Group. For the seven years prior to joining Willkie, Barry was a partner and head of the asset management practice at another firm. From September 1993 until October 1998, he served as the Director of the Securities and Exchange Commission’s Division of Investment Management.

Prior to joining Serengeti, Marc was the General Counsel and a Partner of Offit Capital Advisors. From 2005-2009, Marc was a Managing Director, the General Counsel and Chief Compliance Officer for Ramius LLC, which followed his role as Chief Operating Officer and General Counsel for The Seaport Group. Marc has been an active member of the Managed Funds Association.

Shannon joined ACA in 2005 and currently provides a wide variety of regulatory and compliance consulting services to investment companies, private funds, and investment advisers. Shannon began her regulatory career in 2001 as a Securities Compliance Examiner with the Boston District Office of the Securities and Exchange Commission.

Mark represents clients, including broker-dealers and investment advisers, on transactional, compliance and enforcement matters relating to securities and commodities. Mark focuses on compliance issues specific to advisers to private investment funds such as hedge funds and private equity funds. Mark was formerly an Assistant Regional Director with the Enforcement Division of the Securities and Exchange Commission and is a former chair of the Chicago Bar Association Securities Law Committee.

Paula joined New Mountain in 2009. Previously, she served as the advisory Chief Compliance Officer for Lehman Brothers Inc.; as Senior Vice President of International & Investment Advisory Services Compliance within Citigroup's Global Wealth Management division; as Litigation Associate at Schulte, Roth & Zabel LLP; and as Assistant Chief Counsel of the Enforcement Division at the American Stock Exchange (a division of FINRA, formerly NASD).

James oversees the Compliance Infrastructure and Monitoring functions, which are primarily responsible for the ongoing firm-wide monitoring and testing of advisor and employee compliance with policies, procedures and laws. Prior to joining Bain Capital, James was a Credit Analyst in the Enterprise Risk Management department of Investors Bank and Trust.

Robert is also the Chief Legal Officer of Plural Investments, LLC. Before joining Plural Investments, he was the General Counsel of Integrated Finance Limited and its successor, Trinsum Group. Before joining Integrated Finance, he worked in the legal department of Swiss Re Financial Services Corporatio. He has practiced law at Sidley & Austin, Mayer Brown & Platt and Debevoise & Plimpton, and taught corporate law and securities regulation at Hofstra University School of Law.

Francois joined ACA in 2009 and provides clients with mock regulatory examinations, compliance risk assessments and testing, preparation and reviews of policies and procedures, and development of enterprise compliance programs. With over 20 years of experience, Francois was previously with two large consulting firms as well as 5 years with the SEC and 3 years with NASD.

David represents financial institutions, investment managers, and broker-dealers on a variety of matters including banking and securities regulatory issues, legislation, mergers and acquisitions, private investment funds, and new product development and documentation. David advises clients on strategic initiatives with federal financial regulatory, legislative, and public policy implications. As part of his practice, Mr. Freeman advises his clients on compliance with state and federal banking and securities laws, federal commodities laws, and SRO rules.

Justin’s primary responsibilities include serving as a Partner on performance measurement consulting and GIPS verification engagements for traditional and alternative managers. Justin also consults with a number of ACA’s clients on GIPS related topics and issues. Justin is responsible for the day to day operations of the GIPS verification and consulting division of ACA. Prior to joining ACA Beacon, Justin spent time as an auditor with Ernst & Young.

Michelle is the Founder and CEO of Core Compliance & Legal Services, Inc. In addition, Michelle is Managing Partner and CEO of Jacko Law Group, PC. Previously, Michelle served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services, Corporation (Linsco/Private Ledger).

Deborah is responsible for the overall compliance/risk supervisory responsibilities for McKinley Capital Management, LLC, a global institutional equity asset manager. Deborah has more than 35 years of hands-on global equity and fixed income industry experience with both institutional and individual investment advisers, broker-dealers, registered and unregistered funds. Before joining McKinley Capital, she was Chief Compliance Officer for the RidgeWorth Funds, and Managing Director with RidgeWorth Capital Management, Inc.

Prior to joining FQS, Eric launched the Operational Risk Due Diligence practice as a Director for Duff and Phelps. Eric was responsible for managing a team that provided independent third party assessments of hedge fund manager’s operating policies and procedures to an array of investors allocating to alternatives. Prior to Duff and Phelps, Eric was Head of Operational Due Diligence for FIM, responsible for assessing the operational and business risk of hedge fund managers globally.

Jonathan Lopez is a Deputy Chief in the Money Laundering and Bank Integrity Unit within the Department of Justice’s Asset Forfeiture and Money Laundering Section. As Deputy Chief, Jonathan supervises approximately 12 prosecutors who focus on investigating and prosecuting money laundering and Bank Secrecy Act cases all over the country. Jonathan came to AFMLS from the Fraud Section at Main Justice, where he focused primarily on prosecuting FCPA and Enron matters. Prior to joining the Fraud Section, Jonathan was an Assistant United States Attorney in the Southern District of Florida. Before becoming a prosecutor, Jonathan was a corporate finance lawyer at Sidley and Austin in Los Angeles.

John joined the Firm in 2010, overseeing finance, compliance, operations, human resources, administration and information technology. In addition, he is responsible for portfolio risk management and the CD&R portfolio procurement program. Previously, he was Partner, Chief Operating Officer and Chief Compliance Officer for Oak Hill Capital Partners. John spent 12 years at GE Capital in senior management roles including Corporate Controller, EVP CFO and Managing Director.

Joseph focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds and unregistered vehicles. He has substantial experience in regulatory and compliance matters affecting investment advisers, including registration, marketing, and drafting compliance policies and procedures. Prior to rejoining Vedder Price, Joseph was the Associate General Counsel for a large hedge fund of funds adviser. Previously Joseph served as a staff attorney for the Division of Enforcement of the Securities and Exchange Commission.

Cary is a member of the Investment Management practice group of K&L Gates. Cary structures private funds as limited liability companies, limited partnerships, common trust funds and business trusts. She also advises investment advisers, private fund managers and investment companies with respect to the 40 Act and their obligations under the regulations of the Commodity Futures Trading Commission and the National Futures Association.

Greg focuses on regulatory and compliance issues for private investment firms, investment advisers, and mutual funds . He has extensive experience with the application of federal and state securities laws to all aspects of the asset management industry, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, Securities Act of 1933, Dodd-Frank Wall Street Reform and Consumer Protection Act, and the PATRIOT Act.

Paul’s practice focuses primarily on registered investment companies, registered investment advisers and broker-dealers. He has worked extensively on the full range of matters affecting mutual funds, including their formation, their registration with the Securities and Exchange Commission under the Investment Company Act of 1940, their service provider arrangements with investment advisers, distributors, transfer agents and custodians and their ongoing regulatory reporting and compliance obligations.

Scott leads the firm's Regulatory and Compliance sub-practice and has extensive experience includes representing offshore and domestic hedge funds, private equity funds, investment advisers, broker-dealers and CPO/CTAs in fund formation and structuring, securities regulation, mergers and acquisitions and other financial transactions. Mr. Moss also advises on general corporate matters and agreements among financial professionals, such as placement agent agreements, operating agreements and partnership agreements.

Nick is responsible for ACA’s investment company services division which performs a variety of independent regulatory compliance engagements and risk control reviews. Nick was previously with the U.S. Securities and Exchange Commission and an industry consultant with one of the “big 4” accounting firms. Nick began his compliance career with nearly four years as an Examiner and Staff Accountant at the SEC’s New York Regional Office.

Jason provides strategic consulting and training to retirement plan service providers (broker-dealers, RIAs, investment managers, recordkeepers, TPAs, etc.) and fiduciary education to plan sponsors. He is primarily responsible for tactical planning and business development at PRI and actively leads many of PRI’s consulting projects. Prior to founding PRI, Jason was a partner and co-chair of the Financial Services Group at Reish & Reicher focusing on employee benefits and securities regulation.

Dan joined ACA in 2004 where he established ACA’s Chicago office. Dan has led numerous engagements for some of the largest and most respected alternative and traditional asset management firms in the world. Prior to joining ACA, Dan spent 5 years as a regulator at the Pacific Regional Office of the Securities and Exchange Commission, first as a Securities Compliance Examiner and later as a Staff Accountant.

Matthew founded Tenor when team spun off from Putnam Lovell NBF.. Prior to this role, he held the position of Operations Manager for Putnam Lovell’s Institutional Equity Sales and Trading department. In this role, he was responsible for overseeing the front and middle office functions of the department. Matt previously worked for Bankers Trust as a Vice President in Institutional Trust and Custody.

John is a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation’s registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others. At the OCIE, John designed and implemented the SEC’s securities compliance examination practices, first as a Senior Advisor for Compliance Policy and then, most recently, as Associate Director-Chief Counsel.

Gary is a founding partner of ACA. His primary responsibilities include conducting mock inspections of investment advisers and hedge funds. Gary also assists clients in responding to SEC deficiency letters, reviewing best execution and trading practices, and developing customized policies and procedures. In addition, he has liaised with the SEC on behalf of clients during regulatory inspections.