Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Meredith is a director in the Compliance and Regulatory Consulting practice at Duff & Phelps, specializing in advising broker-dealers, hedge funds, private equity funds and other asset managers on various matters related to industry best practices, policy development, regulatory reporting, risk management, and testing of critical compliance functions. She has worked in financial services for the entirety of her career, focusing primarily on securities regulation, compliance, trading, and operations. Meredith also has significant experience handling litigation matters, regulatory examinations and corresponding with federal and state securities regulators.
Previously, Meredith served as the General Counsel and Chief Compliance Officer for a long/short asset management firm, broker-dealer and hedge fund incubator complex, Quad Group, where she oversaw and administered all legal and compliance affairs. As GC/CCO, she was responsible for drafting and implementing policies related to both the broker-dealers and registered investment advisers which included suitability, KYC, AML, broker reporting, best execution, soft dollars, marketing and advertising, risk management, investment and expense allocation, proxy voting, custody, data security and other related topics. Meredith was also heavily involved in corporate structuring and governance, contract negotiation, litigation and conducting and responding to due diligence queries.
Prior to Quad Group, Meredith was senior counsel at the Hamburger Law Firm and its affiliated consulting entity, MarketCounsel. Her practice concentrated on compliance, regulatory and corporate matters related to investment advisers and broker/dealers. She served as legal counsel and compliance consultant to a variety of newly launched firms as well as seasoned firms undergoing SEC examinations, handling everything from document production to response preparation and remediation. Meredith also spent several years as an institutional currency trader and portfolio manager with Travelex, externed with the Securities and Exchange Commission supporting insider trading enforcement actions and interned with the New Jersey Bureau of Securities providing support for state securities investigations and enforcement actions.
Meredith earned her B.A. in international relations from Boston University and her Juris Doctorate from New York Law School, graduating with honors.