COMPLISURVEIL LLC

Capabilities

A versatile, detailed-oriented Compliance Consultant/Associate experienced in Federal Securities Law, Compliance Inspections/Annual Reviews as required by Rule 38a-1 and 206(4)-7 of the Advisers Act; Trade Surveillance, and Mock SEC Examinations. Experienced in Law Enforcement Support, Quantitative/Statistical Analysis, Financial Reporting, Data Analysis, Forensic Accounting, Fund Accounting (Mutual and Fixed Income) and Information Systems Administration.