Sean Wilke is a director at Duff & Phelps in the Compliance and Regulatory Consulting Practice. Sean joined Duff & Phelps in January 2016 as a result of Duff & Phelps' acquisition of CounselWorks.
Sean specializes in advising hedge funds, private equity funds and other asset managers on various matters related to industry best practices, regulatory reporting, policy development, risk management, supervision and testing of critical compliance functions, amongst other areas. He also has significant experience handling regulatory examinations and corresponding with federal and state securities regulators.
Previously, Sean served as the General Counsel and Chief Compliance Officer of a fixed income focused asset management firm, where he oversaw and administered all legal and compliance affairs. There, he was responsible for drafting and implementing policies related to best execution, soft dollars, marketing and advertising, risk management, investment and expense allocation, proxy voting, GIPS performance reporting, custody, data security and other related topics. Sean was also heavily involved in corporate structuring and governance, contract negotiation and the preparation of third-party information requests.
In addition to a role at the Bureau of Securities within the New Jersey Attorney General’s Office, Sean also spent several years as an attorney at a law firm and affiliated consulting firm, concentrating on the investment adviser and broker/dealer practice. Initially, he started his career as a compliance associate for Bear Stearns & Co., where he spent several years in surveillance for the investment and merchant banking departments and control group.