Walter is a director in Duff & Phelps’ Compliance and Regulatory Consulting practice, based in the New York office. He brings over two decades of compliance experience working with financial services firms, developing and implementing compliance programs across registered investment advisers and broker-dealers. 

Prior to joining Duff & Phelps, Walter was a chief compliance officer with an emphasis on alternative investments. Walter has held senior roles with international asset management firms, including Scotland based Standard Life Investments, London and South African based Old Mutual Asset Management and subsidiary Skandia Funds, where he was responsible for the oversight of Western Hemisphere distribution. His previous experience also includes oversight of compliance for Bank of America’s Global Wealth and Investment Management group. 

At Duff & Phelps, Walter leads client engagements for financial institutions, including broker-dealers, investment advisers and fintech start-ups. He guides firms in compliance with global and industry specific regulations and helps curate programs to foster a culture of compliance for employees and industry associations. 

Walter holds a Bachelor of Arts degree from Saint Anselm College in Manchester, New Hampshire, and a M.S. in investment management from Boston University’s Questrom School of Business.

 
Root /our-team/walter-root /-/media/assets/images/headshots/headshot-placeholder.jpg people {DA6CC51B-740E-439A-B283-2BBFB5326BAA} {8CC387B9-439A-4A17-A4AC-B0EE71FBCBEC} {D597E7E2-5285-4256-A8ED-0F3501A30718} {AE78058B-632F-4181-8793-2F244643BD06} {BF34F1DF-3936-486C-87F2-CE53256B7D76} {B871D4F9-5FCB-40B9-8710-871A30B710AB}

Other Areas We Can Help

CARES Act for both taxpayers and REIT's updates

Broker-Dealer Services

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

Broker-Dealer Services

Insights

Article

National Futures Association – Third Quarter 2020

Article
Compliance

Quarterly U.S. Regulatory Roundup – Third Quarter 2020

Compliance
Article

U.S. Securities and Exchange Commission Update – Third Quarter 2020

Article
Article

Enforcement Matters – Third Quarter 2020

Article

News