As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Andrew is a seasoned compliance consultant with extensive experience in investment management and legal affairs. As a senior compliance professional at CRC, Andrew provides guidance on regulatory compliance and risk management.
Prior to joining CRC, Andrew worked as a consultant with Arootah Alternative Investment and Siris Capital, advising at the latter on compliance matters for tech-focused private equity funds. At DWS Investment Management (Deutsche Bank), he played a key role in updating policies, assessing regulatory changes, and supporting NFA and SEC filings.
His consulting experience also includes engagements with J.P. Morgan (in the alternative investments product development group) and Mission Critical Services, where he developed compliance documents, conducted risk assessments, and drafted policy manuals. Earlier in his career, he served as Chief Compliance Officer at EACM Advisors, overseeing fund launches, regulatory compliance, and policy implementation.
Andrew began his career in legal roles at Schulte Roth & Zabel, Dewey Ballantine, and Winston & Strawn, specializing in asset securitization, fund structuring, and corporate law.
He holds a Bachelor of Arts from Williams College and a Juris Doctor from the University of Wisconsin Law School.