(NEW YORK, NY) November 13, 2014 - ACA Compliance Group ("ACA") is pleased to announce that Jason Rosenberg has joined the firm as a Senior Principal Consultant in ACA's Investment Company and Investment Adviser/Private Fund Services divisions.
Jason served most recently as an exam manager in the Office of Compliance, Inspections, and Examinations ("OCIE") of the U.S. Securities and Exchange Commission ("SEC"). Prior to joining OCIE, he was chief compliance officer for a complex adviser and fund company. Jason also has prior regulatory experience with NASDAQ and NASDR (FINRA).
During his nearly seven-year tenure at the SEC, Jason managed complex examinations of and projects for investment advisers, hedge funds, private equity firms, and mutual fund complexes. In addition, while with the OCIE he oversaw high-profile sweeps and thematic reviews covering valuations, conflicts of interest, securities lending, principal trading, due diligence, 2a-7 reform, trading, affiliated transactions, and compliance programs. In addition, he played an essential role in the Distribution in Guise review element of an OCIE initiative that started in 2013.
Jason also managed several exams related to key National Examination Program initiatives and worked on policy issues with the Division of Investment Management as an integral member of the Dodd-Frank working group. "Jason's first-hand experience as a compliance professional and a regulator will bring a wealth of knowledge to our regulatory compliance services for investment companies and investment advisers," said Nick Prokos, Partner at ACA Compliance Group. "His understanding of SEC expectations further enhances ACA's industry-leading ability to meet and resolve our clients' evolving needs."
About ACA Compliance Group
ACA Compliance Group (ACA) is a global leader providing compliance, performance, and technology solutions to financial services firms. We offer regulatory compliance products and services, GIPS® verifications, and technology solutions. Our clients include investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers around the globe.
Founded in 2002 by former US federal and state regulators, ACA delivers highest quality solutions with unquestionable integrity and unmatched dedication to clients. Today, ACA employees include former SEC, FINRA, FSA (FCA), NYSE, CFTC, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and other leading firms.
ACA is based in New York City and has offices in London, Hong Kong, Rio de Janeiro, Boston, Chicago, Los Angeles, and other US cities.
For more information, please visit www.acacompliancegroup.com.
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