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, operations and business management, regulatory reporting, policy development, risk management, supervision, and testing of critical compliance and operational functions, among 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 Bramshill Investments, 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, operational due diligence, contract negotiation, and the preparation of third-party information requests.

In addition to a brief 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 asset management and investment and merchant banking departments.

Wilke /our-team/sean-wilke /-/media/assets/images/headshots/directors/seanwilke.ashx people {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {DE05ECA4-1852-4BEF-A4E1-491CB497F9CB} {EBC1AB28-1393-493C-AF32-19B3B0B6E171} {BF34F1DF-3936-486C-87F2-CE53256B7D76} {E51588E9-F74A-4D8B-8BBA-C5419571EF17} {AE78058B-632F-4181-8793-2F244643BD06} {8CC387B9-439A-4A17-A4AC-B0EE71FBCBEC} {D597E7E2-5285-4256-A8ED-0F3501A30718} {B871D4F9-5FCB-40B9-8710-871A30B710AB}

Related Services

Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

U.S. Regulation

Comprehensive support for asset managers registering in the U.S.

U.S. Regulation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Broker-Dealer Services

Broker-dealer registration, ongoing support services, and mock exams.

Broker-Dealer Services
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Investment Advisor Services

SEC and CFTC registration and ongoing compliance support.

Investment Advisor Services
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

SEC Mock Examination Services

Comprehensive assistance in preparing for and managing an SEC exam

SEC Mock Examination Services
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

SEC Registration

Comprehensive SEC registration support.

SEC Registration

Insights