She provides strategic advice on all aspects of compliance programs, including the formation and structuring of risk-based compliance programs, drafting of tailored compliance manuals and code of ethics to reflect regulatory requirements and best practice, conducting and documenting firm-wide risk analysis, and reviewing marketing materials, including supporting documentation. Anna’s accounting background allows her to specialize in fee and expense reviews and other financial related aspects of an adviser’s business and reporting obligations. She is frequently retained to conduct forensic analysis and testing of operational controls and transactions in high-risk areas within organizations such as operations, accounting and cash disbursements, trading, performance calculations, and conflicts of interest evaluations.
Additionally, she leads mock regulatory examinations including key employee interviews. Anna also supports clients throughout the entire regulatory examination process inclusive of interview preparation, detailed response analysis and drafting of response letters involving the U.S. SEC, the Commodity and Futures Trading Commission, the National Futures Association and FINRA examinations.
Anna leverages her real estate background when assisting real estate fund clients with developing internal cost allocation methodologies for property-related services and other such PE allocation decisions. She is also proficient with NIST standards as they apply to cyber security requirements and advisor best practices.
Previously, Anna worked as the chief compliance officer and investor relations at a Connecticut-based registered investment adviser where she was also involved in activist situations. Anna has worked in diverse roles, ranging from serving as chief compliance officer of a convertible arbitrage hedge fund to being a sales representative for Bloomberg LLP to working as an investment analyst at a premier real estate pension adviser. She began her career as a certified public accountant in the audit and tax departments of KPMG Peat Marwick.
Anna graduated from Northeastern University with a Bachelor of Science in business administration.
