As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Lilian Colpas is Associate Director, Head of Investment Advisory Support specializing in broad investment advisory compliance matters. Lilian’s background in legal and compliance spans over 19 years. Lilian focuses on assisting her clients in managing their compliance programs and advises on matters related to ongoing regulatory compliance including the review and revisions of policies and procedures, Code of Ethics review and testing, investment adviser registration, compliance calendar maintenance, marketing assistance, SEC examinations, regulatory filings, forensic testing, best execution reviews, gap analysis, 206(4)7 annual reviews, outsourced CCO. Lilian leads a team of compliance professionals who advise clients on ongoing regulatory compliance matters.
Lilian’s career includes compliance management roles at investment advisory firms including Davidson Kempner Capital Management, as well as experience as a paralegal at AIG and Sidley Austin. Lilian is a United States Navy veteran who served one tour of duty in Baghdad, Iraq, and was responsible for the analysis and dissemination of intelligence information. Lilian earned her Bachelor of Arts Degree from DeSales University, her paralegal certificate from Fairleigh Dickinson University and is pursuing her Master’s Degree from Seton Hall University.