Andy has 20+ years of experience in the financial services industry, working in numerous compliance roles for asset managers and funds, with expertise in developing customized compliance solutions by identifying, assessing, and mitigating risks to ensure adherence to appropriate regulatory and industry reporting requirements. Andy has been an outsourced Chief Compliance Officer for multiple clients across various offerings, including three affiliated registered investment advisory firms, two general partners, a Broker-Dealer, registered closed-end funds, a mutual fund series trust, and multiple private investment vehicles. His past roles include Former Chief Compliance Officer for Hatteras Funds, Compliance Manager at UMB Fund Services, and Vice President of Fund Administration and Compliance at US Bancorp Global Fund Services. He graduated from the University of Notre Dame with a Bachelor’s Degree in Business Administration in Accounting. FINRA licenses (currently inactive): Series 24, 62, 99, 6, and 63.
Interesting Facts About Andy – Andy is an avid Fighting Irish football fan (He even tried out for the team for two years, but unfortunately, no Rudy stories here). He enjoys the joy and frustration of chasing down a golf ball or two around all the beautiful courses in North Carolina. Andy loves weightlifting and CrossFit competitions (although he mainly shows up for the post-workout donuts) and puts miles and miles on his Harley-Davidson motorcycle (the one made famous by Arnold in Terminator 2).
Plaza of the Americas, North Tower
Dallas, TX 75201