Executive Leadership and Team
Avnet is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.
Prior to launching CRC, Avnet was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company’s anti-money laundering, privacy, ethics and compliance risk management programs. In addition, Avnet maintained responsibility for Lincoln’s entire Compliance and Ethics Technology strategic initiatives, developing and implementing a long term strategic approach to upgrade and modernize the effectiveness and efficiency of Lincoln’s overall Compliance programs. Avnet was a member of the Social Media Governance Committee, having direct influence regarding LFG’s overall strategy toward the enablement and usage of Social Media outlets across the LFG footprint.
Throughout the course of Avnet’s 20-year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds such as Wachovia Capital Markets, PNC Bank and D E Shaw, developing an extensive knowledge of both buy side and sell side businesses, with a deep understanding of Equity and Fixed Income Markets, Derivative Instruments, Structured Products and Variable Products, Avnet is the epitome of executive leadership.
Over the past 12 years, Avnet has built Compliance Risk Management programs to support the manufacturing / origination and distribution of proprietary products (closed architecture), as well as source third party products on behalf of customers / client relationships (open architecture). During this time frame, Avnet has served in a leadership role, building and integrating Compliance teams to be a meaningful and sought after component of the business process.
Avnet maintains the Series 3, 4, 7, 9, 10, 14, 24, 55, 63 and 65 securities license designations. He obtained his bachelor’s degree in economics, graduating magna cum laude from the State University of New York at Oneonta.
Elin was most recently Director and Head of Business Unit Compliance, for CIT Group Inc. Elin was a member of the Compliance senior management team with responsibility for the US business compliance programs, BUCO’s, broker-dealer compliance, and CIT Bank team. She focused on overseeing compliance support for the business segments in the United States.
Prior to CIT, Elin was at Societe Generale for six years, where she served as Managing Director, Head of Global Markets Compliance and Deputy Director to the Chief Compliance Officer. Prior to Societe Generale, Elin worked in senior compliance roles at Deutsche Bank Securities Inc. and Banc of America Securities. She has deep experience in compliance programs, regulatory relations, testing and monitoring, compliance audits and capital markets, among others. Elin brings strong leadership skills and experience that benefit our Compliance team.
She holds a J.D. from the University of Denver College of Law and received her B.A., cum laude, from the University of Colorado.
Roland is responsible for the business development and execution of CRC’s compliance engagements. Most recently, he was Director at Wells Fargo Securities, LLC’s Compliance Department. He was responsible for overseeing the Equity Derivatives compliance program covering Structured Products, Corporate and Equity Derivatives, Convertible Securities, and Equity Finance sales and trading desks.
Prior to Wells Fargo, Roland was at Bear Stearns covering its Equity Derivatives Sales and Trading Desks and JP Morgan’s Compliance Surveillance unit covering its listed options activity. Prior to JP Morgan, Roland worked at Salomon Smith Barney’s Retail Compliance Department helping in the coverage of the company’s large retail options business.
Roland has extensive experience in regulatory, compliance and compliance technology matters in the equity derivatives, structured products and convertible securities space.
Roland has the 7, 63, 4, 24, 55, 3, 8 securities licenses. Roland graduated with a B.A. in Economics from Hunter College, CUNY.
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Arlene has spent over 20 years in the Financial Services industry. Recently she was at Deloitte as a Senior Manager in Talent Development for their Financial Services practice. Prior to Deloitte, she spent 12 years at Citibank as a Senior Vice President, Training Director for their Commercial Banking group. During these combined careers, Arlene has demonstrated a proven track record for leading major projects and creating strategic partnerships. Her business background and personal customer approach adds value to any relationship. She is a strong results-driven sales and marketing executive with banking, consulting and real estate experience. She is considered a trusted advisor to clients.
Arlene earned her MBA from Fordham University, her MA from New York University, and her BS from Northeastern University.
Jaclyn Bowdren is an accomplished compliance professional with 10 years experience. Most recently she created, implemented and managed the compliance program for a start-up ATS. Jaclyn has extensive knowledge of the regulatory concerns facing firms focused on electronic trading and specifically firms operating an ATS. She has considerable experience in regulatory reporting and the intersection of technology and compliance. Jaclyn takes an analytical approach to her work, always looking for greater efficiency and the best ways to implement technology for the enhancement of regulatory compliance.
Ms. Bowdren received her Bachelor of Arts in Psychology from the University of Massachusetts, Amherst.
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Lilian Colpas is an accomplished compliance professional with over 12 years of global compliance experience, most recently as compliance officer for Harding Loevner in Bridgewater, NJ. Previously, Lilian held roles as a compliance officer for Davidson Kempner Capital Management and AIG Global Investments (now PineBridge Investments). Lilian also worked as a paralegal for Sidley Austin Brown and Wood and AIG.
Lilian has extensive knowledge of the rules and regulations of the Investment Adviser’s Act of 1940 as well as AML Rules and Regulations. Her IA experience includes: developing compliance calendars, conducting 206(4)7 reviews, managing mock SEC exams and mock audits, reviewing marketing literature, annual, quarterly and monthly compliance testing, U.S. and foreign filing requirements, collaborating with IT departments to automate compliance policies, independent testing of AML programs, updating Form ADV, Code of Ethics compliance, employee training. Lilian’s AML experience includes conducting independent AML testing which included an in-depth review of a mutual fund’s AML program, interviewing the AMLCO, reviewing CIPs for required procedures, and conducting OFAC reviews and investigating and closing alerts.
Lilian received her BA in Criminal Justice from DeSales University and Paralegal Studies Certificate from Fairleigh Dickinson University. Lilian proudly served her country from 2002-2010 as a reservist with the US Navy and served one tour of duty in Baghdad, Iraq. Lilian is a former EMT and currently volunteers her time as a driver for Meals on Wheels and as a children’s liturgy leader for her parish.
Janelle Deegan is an accomplished compliance professional with 12 years of experience. Janelle has extensive knowledge of the rules and regulations of the Investment Adviser’s Act of 1940. Her industry experience includes developing compliance programs, testing compliance policy and procedures, regulatory filings, verifying marketing literature, trade surveillance and Code of Ethics (personal securities trading/reporting) monitoring.
Most recently Janelle provided regulatory advisory services to help organizations enhance their compliance program. Previously, Janelle worked as a Compliance Officer for a SEC registered investment advisor, Trilogy Global Advisors, LP. Before that Janelle worked at Clearbridge Advisors, a Legg Mason Company, where she was a Compliance Associate focusing on trade surveillance. She was also an Assistant Vice President in the compliance department for a hedge fund, Avenue Capital Group. In addition, she worked at Shenkman Capital Management where she provided assistance in their legal and compliance team. Before transitioning to Compliance, she worked at Thomas Wiesel Partners as an Investor Relations Assistant in the Private Equity group, as well as an Administrative Assistant to their Healthcare Banking Team.
Janelle received her Bachelor of Arts in Marketing from the James Madison University.
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Tom Elwood was previously the General Counsel of Greylock Capital Associates, LLC (“GCA”), a Delaware limited liability company, which is a holding company for Greylock Capital Management, LLC (“GCM”), an investment adviser registered with the Securities and Exchange Commission (“SEC”) and with the State of New York.
Mr. Elwood has worked within the securities industry since 1974, first as an SEC Compliance Examiner and later as an enforcement attorney. In 1985, he worked as an attorney at PaineWebber in the General Counsel’s Office and in 1986 was chief legal counsel at Furman Selz. His next employment was as mutual fund counsel at New York Life and Chubb Life. While at Chubb Life he took and passed the Series 7, Series 24 exams and was mutual fund counsel as well as in charge of all securities litigations at Chubb Securities Corp. In 1998, Mr. Elwood became General Counsel of Van Eck Global, a global mutual fund manager and of Van Eck Securities and Van Eck Capital Corp., registered broker-dealers. In all of these positions, all compliance functions were supervised by him. In 2004, Van Eck spun off Greylock Capital Associates, which became the parent company of two registered investment advisers and Van Eck Capital, a registered broker dealer.
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Christine Horan is an accomplished regulatory compliance professional with over 15 years of experience.She has enjoyed repeated success creating and implementing robust compliance programs for federally registered financial services and private equity firms with both institutional and individual investors. Christine’s considerable experience includes large traditional financial services firms as well as alternative investment firms. Christine’s experience has included client management, program implementation and process improvement. She takes a hands-on leadership approach to her work and is able to balance multiple responsibilities simultaneously. Ms. Horan has spent the last eight years creating new compliance programs and implementing process improvements, which enhances her ability to understand a client’s needs and provide immediate value.
Ms. Horan received her Bachelor of Arts in Liberal Studies from St. Anselm College and her Masters of Science is Criminal Justice from Suffolk University.
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Bradley King is a regulatory compliance professional with approximately 10 years of experience in the financial industry. Bradley most recently held positions at Morgan Stanley & Co., LLC and Societe Generale as a regulatory inquiry analyst. In addition to responding to inquiries relating to equity, fixed income, and futures trading, Mr. King participated in TMMS and Sales Practice regulatory examinations of Societe Generale’s Broker-Dealer affiliate SG Americas Securities, LLC.
Bradley’s previous position at Societe Generale included his work as a surveillance analyst where he was responsible for fixed income and equity trade surveillance, electronic communication reviews, and responding to blue sheet requests. In addition, Mr. King held a position in Societe Generale’s legal department where he assisted multiple attorneys, including the Firm’s General Counsel.
Prior to beginning his career in the financial industry, Bradley worked as a computer programmer for the IEEE Communications Society and as a quality assurance analyst at Touchscreen Media Group Inc.
Bradley received his Bachelor of Arts in Chemistry from Indiana University.
Stephanie Miller is a regulatory compliance professional with approximately 7 years of experience in the financial industry. Stephanie’s background with broker-dealers pertaining to settlements and municipal bonds gives her a unique vantage point with her understanding of compliance. She ensured firm-wide compliance with regulations from FINRA, MSRB, and SIPC, and has extensive experience with regulatory reporting such as FINRA’s TRACE and MSRB’s RTRS. Stephanie holds the Series 7 securities license.
Stephanie received her Bachelor of Arts in History from Mount Holyoke College.
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Valerie Pierrat is an accomplished compliance professional with over 15 years of experience in Financial Services combining compliance and operations knowledge with integrity to effectively balance needs of clients, independent board members and management. She has been repeatedly successful in meeting diverse challenges related to a changing regulatory environment, institutional client/board relations, and business implementation. Valerie has managed a broad range of compliance matters related to registered investment vehicles, including– board consolidation and committee structure, oversight of third-party service providers, contract reviews, liability and D&O/E&O insurance requirements, proxy voting, and SEC exams. Having been previously employed by some of the nation’s largest financial institutions, Valerie has managed compliance matters for top international asset managers, and most recently served as Chief Compliance Officer for the wealth management division of a large national bank, where she developed and implemented compliance programs for both the bank’s registered investment adviser and its proprietary mutual fund.
Valerie graduated from Tuft’s University with a Masters of Fine Arts and received her Executive Masters of Business Administration from Claremont Graduate University.
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Kevin Stein began his career at the law firms of Skadden Arps and Jones Day representing fund sponsors in connection with the formation, structuring and marketing of private funds, including private equity funds, hedge funds and real-estate related funds. Kevin also represented mutual funds, closed-end funds and their investment advisers on issues relating to the development and launch of new funds and providing ongoing advice regarding regulatory and compliance matters.
Most recently, Kevin was Vice President in the Legal and Compliance Division of Morgan Stanley Investment Management where he covered the mutual fund complex, the Alternative Investment Partners fund of funds business and the Managed Futures business. Kevin has extensive experience preparing regulatory filings for the SEC and CFTC/NFA as well as substantial knowledge of disclosure and compliance matters under the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA and the Commodities Exchange Act.
Kevin has developed and implemented compliance programs pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, including testing, training and oversight of sub-adviser’s and service provider’s compliance with applicable securities laws. Kevin regularly responds to regulatory inquiries and conducts mock SEC and CFTC/NFA exams. Kevin also has significant experience implementing Dodd-Frank regulations such as Title VII swaps and derivatives regulation and foreign regulatory regimes such as AIFMD.
Kevin received his B.A. from Duke University and his J.D. from the University of Virginia School of Law.
Charlene Wilson worked for The PNC Financial Services Group, Inc. (“PNC”) for over 35 years until retiring in 2013. During her career at PNC, Ms. Wilson performed financial analysis of departments of PNC Bank, assisted in budget preparation, audited departments of PNC Bank, performed analysis of various acquisition candidates, had responsibility for month end close of over 30 subsidiaries of PNC, prepared and reviewed monthly reconcilements, managed over 10 employees and was the designated Financial and Operations Principal (“FINOP”) for PNC’s numerous broker/dealers.
Ms. Wilson has been a licensed FINOP for approximately 25 years. In her role as FINOP, Ms. Wilson was responsible for several of PNC’s broker/dealers including both retail and institutional firms and fully disclosed and self-clearing firms. Her responsibilities included filing of FOCUS reports, computation of reserve formula requirements, and preparation of financial statements for year-end audit, review of all reconcilements and general ledger entries and interaction with FINRA and SEC regulators as well as external auditors.
Ms. Wilson received her BSBA degree from Robert Morris University and her MBA from the University of Pittsburgh. Ms. Wilson was a licensed Certified Public Accountant in Pennsylvania for over 30 years. Ms. Wilson currently serves on the FINRA Series 27/28 Qualification Examination Committee.