Joe leads on our work with clients in New York, in particular helping with regulatory issues relating to SEC and FINRA. He works closely with our Chicago office where we also advise on NFA and CFTC regulations.
Over his 16 years in compliance, Joe has worked internally for Goldman Sachs and advised other large institutions as a consultant, as well as held the CCO title for a private fund manager and, separately, a mid-market options broker-dealer. Most of the last ten years Joe has been consulting, advising a full range of fund managers and complex financial institutions, including leading the teams that conducted mock examinations and/or annual reviews for these organizations. He brings this extensive practical experience with analysis and implementation to bear for Bovill’s growing base of clients that have operations in New York.