Fizza Khan is a managing director and Chief Operating Officer for U.S. Compliance Consulting at Duff & Phelps. Fizza joined Duff & Phelps in January 2016 as a result of Duff & Phelps’ acquisition of CounselWorks.
Fizza is an expert on regulations governing registered investment advisers. During her tenure at CounselWorks she assisted a variety of alternative investment managers in the development, implementation, and maintenance of their compliance programs and has personally handled numerous SEC examinations. Fizza is frequently asked to lecture on timely issues impacting the regulation of private fund managers.
Prior to joining CounselWorks, Fizza was senior counsel and the U.S. Chief Compliance Officer for DKR Oasis Management, a global private investment fund. Fizza was responsible for all United States regulatory matters, including trading activity, regulatory reporting and supervision of domestic employees.
Prior to joining DKR, she was the Chief Compliance Officer for the private fund business of Sandler O'Neill Advisors, a full service money management, investment banking and brokerage firm of over 200 employees. There, she developed the firm's Advisers Act regulatory program, registered the firm as an investment adviser with the Securities and Exchange Commission and oversaw the development and regulatory aspects of the firm's new hedge fund and alternative investment business. She was also responsible for the firm's FINRA compliance including equity and fixed income trading, research and anti-money laundering. While at Sandler, Fizza successfully managed a number of formal SEC and FINRA regulatory examinations.
Fizza has also acted as counsel to numerous mutual funds and private investment funds as both outside and in-house counsel, while with Deutsche Banc and Kramer Levin, where she advised on the structuring of registered investment companies and registered investment advisers, prepared SEC regulatory filings for these investment vehicles, and analyzed transactions and holdings of mutual funds in accordance with the Investment Company Act of 1940.
Fizza majored in Finance and Economics at Drexel University (where she published a thesis on the effects of derivative trading regulation), and received a law degree from the University of Maryland School of Law.