In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. Pension fund managers have an extensive due diligence process to screen potential investment advisers for their programs. Today, this due diligence goes beyond examining an investment adviser’s investment process, research and execution capabilities to also include evaluating their operational and compliance excellence and cybersecurity controls.
About Our Guest Speakers:
Matt Calabro is an experienced Chief Compliance Officer, having served as CCO for registered mutual funds, investment advisers and a family of UCITS funds. Before joining CSS, Matt was Deputy CCO at Delaware Investments, where he led the daily activities of the firm’s compliance department covering advisory, fund and distribution activity. Under his leadership, Delaware implemented specific improvements in its guideline compliance, advertising review and Code of Ethics programs. Prior to Delaware, Matt spent 20 years in Raymond James’ investment advisory business, where he led mutual fund operations. While there, Matt implemented and upgraded controls, processes and technology and also served as the first full-time CCO to the mutual funds following the adoption of the Compliance Rule. Matt leverages his compliance and operations experience in the investment management industry to assist advisers and investment companies in advancing the effectiveness of their compliance programs.
Before joining NTI, Allison served as the Compliance Director for General Motors Asset Management, where she assisted with the administration of the compliance program for this registered investment adviser.