Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Anna is a director in the Compliance and Regulatory Consulting practice in New York. She works closely with many wealth advisors, hedge funds and private equity funds in the development of compliance manuals and code of ethics, performing risk analysis, reviewing compliance programs and marketing materials, and conducting mock regulatory examinations. In addition, she has evaluated controls in critical departments such as research, trading, fund operations and cash disbursements. She has conducted several fee and expense allocation reviews and assisted clients in implementing policies that reflect industry best practice. Anna leverages her real estate background when assisting real estate fund clients with developing internal cost allocation methodologies for property- related services. Anna is also proficient on cybersecurity regulations, and understands the expectations required by the SEC guidelines and associated risks posed to businesses.
Anna has assisted clients over the years with regulatory examinations involving the U.S. Securities and Exchange Commission (SEC), Commodity and Futures Trading Commission (CFTC), National Futures Association (NFA) and FINRA.
Previously, Anna worked as the Chief Compliance Officer and Investor Relations at a Connecticut based registered investment adviser where she was also involved in activist situations. Anna has a long business history, ranging from serving as Chief Compliance Officer of a convertible arbitrage hedge fund, a Sales Representative for Bloomberg LLP and as an Investment Analyst at a premier real estate pension adviser. Her career began in the audit and tax departments at KPMG Peat Marwick.
Anna graduated from Northeastern University with a Bachelor of Science in Business Administration.