SILVER REGULATORY ASSOCIATES - Key Persons
Drawing from both financial services and litigation experience, Alex Zollinger works with Silver clients to implement, maintain and manage their compliance programs.
Prior to joining Silver, Alex was a Legal Compliance Associate at Assure, a leading provider of outsourced administrative and transactional services for the private investment marketplace where he was responsible for managing the compliance programs of a high volume of Assure's private investment fund manager clients. In this role, Alex was primarily tasked with customizing fund documents, preparing regulatory filings for exempt reporting advisers, conducting general legal and/or compliance reviews and providing regulatory updates to clients. Previously, Alex worked in a boutique law firm focused on civil and criminal litigation for both governmental and private clients.
Alex received a Bachelor of Science in Healthcare Administration from Brigham Young University - Idaho. Alex also holds a Master of Public Administration and a Juris Doctor, both from the University of Idaho.
Leveraging experience in regulatory investigations involving potential market abuse and rule violations, Benny Armstrong works with Silver clients on the implementation, execution and maintenance of their compliance programs.
Prior to joining Silver, Benny was a Cboe Global Markets investigator for over four years. In that role, Benny conducted complex regulatory reviews of various types of market activity by Cboe's member firms, including reviews of supervisory procedures and the potential for, or actual occurrences of, rule violations.
Benny received a Bachelor of Arts in Economics from DePauw University and earned a Juris Doctor from Washburn University School of Law, where he concentrated on Business and Transactional Law.
Job Titles:
- Analyst
- Digital Marketing Consultant and Digital Marketing Specialist
As an Analyst on the compliance team, Brad Caswell advises Silver's clients on the implementation, maintenance and management of all aspects of their compliance program.
Prior to joining Silver, Brad has worked as a Digital Marketing Consultant and Digital Marketing Specialist in the food/beverage industry utilizing skills he developed through a Digital Marketing & Storytelling certificate he received through the University of Pennsylvania's Experience Lab at Penn program.
Brad received a Bachelor of Arts in Marine Science with minors in Environmental Analysis & Policy and Chinese from Boston University. He utilizes skills from past environmental and marketing experiences to assist with Silver's ESG and Marketing efforts as well.
Applying her experience with investment advisers in both the public and private sectors, Caroline Benson works with Silver to develop, implement and support clients' regulatory compliance programs.
Prior to joining Silver, Caroline was a Compliance Associate at IQEQ. At IQEQ, Caroline focused on maintaining robust compliance programs for fund managers, family offices and private clients operating worldwide. Caroline also helped lead projects that oversaw the development and maintenance of compliance platforms and was a member of IQEQ's AML KYC project team.
Caroline received a Bachelor of Arts in Psychology and Spanish from Texas A&M University. Caroline also holds a Masters of International Affairs from the Bush School of Government and Public Service at Texas A&M University.
Combining investment firm and compliance consulting experience, Chris Murphy works with Silver clients to implement, maintain and manage all aspects of their compliance programs.
Job Titles:
- Business Development Manager
Having held a variety of legal, compliance and risk management roles at law firms and compliance consulting firms, Emily Schofield is responsible for developing, on boarding and maintaining client relationships at Silver. Leveraging her field experience, Emily ensures client relationships are set up for success and that Silver is meeting client expectations.
Prior to joining Silver, Emily was a Vice President for U.S. Compliance Consulting at Duff & Phelps, which she joined in January 2016 as a result of their acquisition of CounselWorks LLC. At both Duff & Phelps and CounselWorks, Emily advised private equity and hedge fund firms and other investment advisers on a wide array of matters, conducted risk assessments, prepared SEC filings and compliance policy and procedures documents and provided support during SEC examinations.
Emily developed her diverse perspective through a variety of legal and compliance roles. As regulatory counsel at MarketCounsel and its affiliated law firm, Emily provided legal and compliance counsel to registered investment advisers. In the Office of General Counsel at Gibson, Dunn & Crutcher LLP, she devised and implemented risk management strategies for the firm. Prior to law school, Emily was a legal assistant at Gibson Dunn assisting in the representation of major financial institutions and investment companies in securities litigation and SEC enforcement actions.
Emily received a Bachelor of Arts in English, with a minor in Government, from Georgetown University. She earned a Juris Doctor from Fordham University School of Law.
Job Titles:
- Chief Executive Officer
- Member of the Silver Team
A pioneer in providing outsourced compliance services to investment firms, Fizza Khan is an expert on regulations governing investment advisers, broker-dealers and registered and private funds. As a hands-on leader across the firm's flagship service lines - Regulatory Compliance, ESG and Due Diligence Preparation - Fizza ensures Silver's clients are fully prepared to withstand regulator and investor scrutiny.
Through leadership positions at compliance consultancies, in-house legal counsel and compliance roles at various financial institutions and law firm practice, Fizza developed an approach for her clients that calibrates best practices with their business realities. Having personally handled numerous SEC examinations while in-house and as a consultant, Fizza knows how to satisfy regulator and investor expectations without creating unmanageable complexity.
Prior to founding Silver, Fizza was the Chief Operating Officer for U.S. Compliance Consulting and a Managing Director at Duff & Phelps. She joined Duff & Phelps in January 2016 as a result of their acquisition of CounselWorks LLC where she was a Partner. At both Duff & Phelps and CounselWorks, Fizza managed the day-to-day provision of compliance services to firm clients and built the foundations upon which advice was given.
Fizza developed her insider perspective from her experience at a wide range of financial institutions. As senior counsel and the U.S. Chief Compliance Officer for DKR Oasis Management, a global private investment fund manager, Fizza was responsible for all U S. regulatory matters and supervision of domestic employees. As Chief Compliance Officer for the investment management business of Sandler O'Neill Advisors, Fizza registered the firm with the SEC as an investment adviser and developed and oversaw its compliance program. She also served as the Chief Compliance Officer for the Equities Group at Sandler O'Neill + Partners and, in that capacity, was responsible for the firm's SEC and FINRA compliance programs. In addition, Fizza managed a number of formal SEC and FINRA regulatory examinations for the Sandler firms. As in-house counsel at Deutsche Banc, Fizza advised numerous registered and private fund managers as to fund and advisory entity structuring, prepared their SEC regulatory filings and, for the registered funds, performed analysis required by the Investment Company Act of 1940. As an associate in the investment fund practice at Kramer Levin, Fizza specialized in the formation and management of registered and private funds.
Fizza received a Bachelor of Science in Business from Drexel University, where she concentrated on Finance and Economics and published a thesis on the effects of derivative trading regulation. She earned a Juris Doctor from the University of Maryland School of Law.
Prior to joining Silver, Henrik was a Senior Associate at Blue River Partners part of IQ-EQ, a compliance consulting firm, working with a variety of private equity and hedge fund firms to ensure their compliance programs were properly established and managed. Henrik's responsibilities included reviewing and revising regulatory filings, such as Form ADV, Form PF, Form ID, and Form D and other blue-sky filings, compliance policies and procedures and marketing materials. Henrik also conducted forensic testing and monitored employee trading. Previously, Henrik worked at Hudson Advisors' where he conducted AML reviews of clients, counter parties and other third parties as well as marketing materials. He also assisted with regulatory filings and ensured compliance with NFA and CFTC exemptions.
Henrik received a Bachelor of Arts in Economics and Banking & Finance from Appalachian State University. Henrik also holds a Masters in Business Administrations and a Masters in Finance with a concentration in Financial Analysis, both from Kaplan University.
Prior to joining Silver, Henry was a Compliance Officer at Omni Financial of Nevada, working with the Chief Compliance Officer and other departments to carry out the company's Compliance Management System. Henry's responsibilities included reviewing and revising corporate policies and procedures, reviewing marketing materials for conformance with FTC guidelines and developing the company's business record retention program. Previously, Henry worked at AML RightSource where he investigated suspected cases of fraud and money laundering on a fintech platform.
Henry received a Bachelor of Arts in Philosophy from UCLA and a Juris Doctor from the University of San Francisco School of Law. Henry also holds a Certificate in Deposit Compliance from the American Bankers Association (ABA) and is a Certified Anti-Money Laundering Specialist (CAMS) under the Association of Certified Anti-Money Laundering Specialists (ACAMS).
Possessing over 16 years of compliance experience across multiple verticals, Jamie Lee Principe has a diverse background and proven ability to excel in all efforts, cross industry - making her poised to handle the wide-ranging needs of Silver's clients while creatively ensuring their compliance with the regulations governing investment advisers.
Additionally, as an attorney by trade, Jamie's extensive in-house experience uniquely equips her with the ability to operationalize across all departments of an organization, a necessary requirement for effective compliance programs. Prior to joining Silver, Jamie was the Deputy Chief Compliance Officer and Chief Information Security Officer at Levine Leichtman Capital Partners, LLC, a private equity firm, where she built and successfully managed the firm's compliance program in addition to performing various vital legal functions key to the organization's overall performance.
Shortly after graduating law school, Jamie began her compliance career at Peachtree Life Settlements, a life settlement company whose transactions were regulated by the Department of Insurance in most states. Initially hired as a Compliance Analyst, then quickly promoted to In-House Counsel and subsequently Compliance Manager, Jamie successfully navigated Peachtree through examinations by the Departments of Insurance as well as adeptly and thoughtfully created cross departmental processes and efficiencies that increased revenue by over 50% within her first year. Prior to transitioning to private equity, Jamie was also General Counsel and Regulation Compliance Manager at Rogerson Kratos, an aerospace manufacturer. In this role, Jamie had to promptly educate herself on the relevant US export regulations in order to ensure the company's compliance with the Export Administration Regulations and the International Traffic in Arms Regulations.
In her spare time, Jamie volunteers with the Los Angeles County Bar Association's Domestic Violence Project, where she assists victims of domestic violence obtain restraining orders.
Jamie received a Bachelor of Arts in Women's Studies from the University of Connecticut, and earned a Juris Doctor from New York Law School.
Leveraging experience in analyzing and managing environmental, regulatory and legislative risk, Jarod Riedl advises Silver clients on Environmental, Social and Governance (ESG) and regulatory compliance issues.
Prior to joining Silver, Jarod was at Woodbridge International, a mid-market sell-side advisory firm. At Woodbridge, he was responsible for evaluating environmental and regulatory impact on client companies. Previously, Jarod worked at the Connecticut Group, a government relations and legislative research firm. There, he helped identify, research and mitigate legislative risks to a variety of financial, energy and technology firms.
Jarod received a M.S. in Financial Risk Management, as well as Bachelor of Arts in Economics and Political Science from the University of Connecticut. His academic work focused on econometric analysis and sustainability issues. He also minored in Analytics and was a four-year letter winner for UConn's NCAA Division I Men's Soccer Team. Jarod holds the CFA Certificate in ESG Investing.
Utilizing extensive experience in environmental, social and governance (ESG) due diligence and portfolio oversight, Jennifer McElwain advises Silver clients on ESG and sustainability policy and reporting, as well as diversity, equity and inclusion (DE&I) plans.
Prior to joining Silver, Jennifer was the ESG Lead Consultant with ACA Group, a regulatory consulting firm, where she directed ESG program management for firms in the financial services sector, including hedge funds, private equity firms and asset managers. While at ACA, Jennifer created and customized ESG and DE&I policies, due diligence questionnaires and ESG marketing materials, as well as other ESG initiatives. Jennifer also developed disclosures and provided reporting guidance with respect to the UN Principles for Responsible Investing (UN PRI) and Task Force on Climate-Related Financial Disclosures (TCFD), among others.
Jennifer received an M.S. in Environmental Science and Policy from Johns Hopkins University and a Bachelor of Science in Environmental Science from New York College of Environmental Science and Forestry (SUNY ESF). Jennifer's academic work focused heavily on environmental analysis and performance measurement, in addition to environmental policymaking and policy analysis.
A veteran of the alternative investments industry, John Seall works with investment managers to prepare for investor due diligence, drawing on his cross-functional experience and multi-disciplinary skill set to simulate rigorous institutional investor review. Over the course of his nearly three-decade career, he has held executive level positions including Chief Operating Officer, General Counsel and Head of Business Strategy and Development at global alternative asset managers. Across these roles, John was instrumental in the structuring and implementation of new financial products and business initiatives specifically designed to increase AUM.
Most recently, John served as Managing Director and Chief Operating Officer of Investable Indices at State Street Global Exchange. Previously, he held positions at Credit Suisse Alternative Investments, including Chief Operating Officer of Liquid Alternatives and, earlier, Head of Transaction Management for the Alpha Strategies Group. John was formerly the Head of Business Strategy and Development for the Quantitative Strategies Group ("QSG"), where he was responsible for the implementation and development of the Credit Suisse GTAA Global Macro and Insurance-Linked Strategy products. Prior to his role at QSG, John was a member of the Platform Management and Development team in Zurich, where he led the merger of a Private Bank Fund of Funds business with an Institutional Fund of Funds business, resulting in the creation of a Top 10 Fund of Funds business with AUM of over $22B. In addition, he served on the Boards of various Credit Suisse investment vehicles.
Earlier, John held senior analyst and product development positions at various hedge funds and a CTA. He also served as an Associate Corporate Counsel of Franklin Templeton Alternative Strategies, LLC and was General Counsel for a hedge fund with approximately $2.5 billion in AUM. John began his career on the floor of the Chicago Board of Trade with Merrill Lynch Futures in 1990.
John is a Chartered Alternative Investment Analyst, a Chartered Financial Analyst, a Financial Risk Manager, a Professional Risk Manager, and was formerly an Attorney, and a Certified Public Accountant. He received a Bachelor of Arts in Economics from the University of Notre Dame, earned a Juris Doctor from the Hofstra School of Law and received a Masters in Business Administration from the DePaul University Kellstadt Graduate School of Business.
Highly experienced in investment firm complexities, Lisa Klar leads Silver's Due Diligence Preparation Services while also working closely with Silver's leadership team to develop, launch and expand new and existing service offerings. Lisa was integral in developing the Due Diligence Preparation Services, which are designed to help Silver's clients withstand the scrutiny and monopolizing demands of investor due diligence.
Over the course of her 30+ year career, Lisa Klar has held senior positions in product, marketing, distribution, compliance and legal functions across the spectrum of financial services firms. Lisa also practiced investment management law at prestigious firms advising sponsors of hedge, private equity and mutual funds and separate account managers.
At Simpson Thacher & Bartlett LLP, Lisa was Senior Counsel in the Corporate Department and the firm's expert in advising alternative and traditional investment managers on compliance matters under the Advisers Act and exemptions under the Securities Act and the Investment Company Act. She also played a key role in structuring investment manager acquisitions and mergers, including performing certain aspects of target due diligence, internal investigations and guided clients through SEC examinations, investigations and enforcement actions and handling the intricacies of their outcomes. Prior, Lisa was the General Counsel, Chief Compliance Officer and Director of Product Structuring of Cadogan Management, LLC, a fund of hedge funds manager.
As the Director of Compliance at Lehman Brothers' Investment Management Division Lisa oversaw the compliance function for the private equity, hedge fund, mutual fund, separate account and wealth management businesses of Neuberger Berman and the legacy Lehman businesses. At Lehman at the time of the 2008 bankruptcy, she was part of the team representing the Division during private equity due diligence sessions. Also at Lehman, Lisa was a senior member of a team hired to implement a new strategy to capture greater prime brokerage share through consulting to hedge fund clients.
Earlier, Lisa led product management, development and marketing efforts for the Alternative Investments units of Citigroup's Smith Barney division and the Managed Account businesses at Prudential's Investment Management arm. In these roles, she was the gatekeeper and relationship manager to hundreds of mutual fund, traditional separate account and alternative managers, led initiatives to enter new distribution channels and/or asset classes, performed certain aspects of manager due diligence and was responsible for partnering with the sales force and continual program improvement. Prior to her business role at Prudential, Lisa led the Investment Advisory unit of its Securities' Law Department. Lisa began her career as an associate in the investment fund practice of Seward & Kissel.
Lisa holds a Bachelor of Science from Cornell University and earned a Juris Doctor from the University of Pennsylvania.
Job Titles:
- Managing Director & Head of Regulatory Compliance
With over a decade of regulatory compliance experience, Nicholas Nunez works with investment advisers and broker dealers to register with regulatory authorities, develop and maintain their compliance programs and withstand scrutiny under both regulator examination and investor due diligence. In addition, Nicholas works with the CEO to manage the operations of Silver.
Prior to joining Silver, Nicholas served as the Deputy Director of Compliance at Commonwealth Opportunity Capital (CWOC), an SEC and CFTC-registered adviser that employed global macro strategies. At CWOC, he ensured implementation of numerous aspects of the compliance program, including development and execution of policies and procedures, administration of forensic testing and management of compliance trainings and also served as the firm's cybersecurity responsible officer. Prior to CWOC, Nicholas was an Associate Director at CounselWorks LLC, a regulatory and business strategy consulting firm to investment advisers and broker dealers.
Nicholas holds a Bachelor of Science in Business Administration from Saint Joseph's University and is proficient in Italian.
Applying his compliance expertise acquired over the last decade working as both a compliance consultant to investment advisers and a former regulator, Patrick Billie advises and collaborates with Silver clients to support the development, implementation and execution of their compliance programs.
Prior to joining Silver, Patrick was a Regulatory & Compliance Manager at IQEQ, a compliance consulting firm, supporting hedge fund, private equity and venture capital clients by administering all aspects of their compliance programs. Patrick also worked as a Regulatory Specialist at Northern Trust providing dedicated regulatory support to one of the largest private hedge fund managers in the world. Before starting his career in compliance consulting, Patrick was a Supervisor in the Examinations department of the National Futures Association (NFA), with responsibilities including examining of NFA members. Patrick then became a Senior Analyst in the NFA's Financial Surveillance department, where he managed a team of NFA professionals, reviewed and analyzed regulatory filings and investigated claims of fraud and rule violations.
Patrick holds a Bachelor of Arts in Economics from the University of Illinois Urbana-Champaign. Patrick also holds a CFE designation from the Association of Certified Fraud Examiners.
Applying experience in environmental policy and program management, Samuel Lopez advises Silver clients on Environmental, Social and Governance (ESG) and regulatory compliance issues.
Prior to joining Silver, Sam was a Sustainable Investment Analyst at Morningstar Indexes. In this role, Sam was responsible for exploring sustainable bond market opportunities and building out an innovation incubator. Previously, Sam worked at E Co. Ltd. as a consultant where he helped engage and survey stakeholders involved with the Green Climate Fund.
A former regulator who investigated investment firms, Tyler Schoenberg works with Silver clients to prepare for and manage SEC exams, develop and forensically test compliance policies and procedures and train client employees in compliance matters. Tyler's understanding of enforcement objectives and priorities and how securities laws are applied to real world scenarios allow him to hone in on issues material to regulators.
Prior to joining Silver, Tyler worked as a contract attorney at the SEC's Division of Enforcement Asset Management Unit, developing cases against investment advisers, broker dealers, registered investment companies and private funds. Previously, at the United States Attorney's Office, Tyler worked on civil fraud and white-collar crime investigations, including a 2014 case against Bank of America and its subsidiary Countrywide Financial Corporation, which settled for $16.65 billion and is the largest civil fraud settlement against a single entity in United States history.
Tyler holds a Bachelors of Arts in Political Science from the University of California, Los Angeles and a Juris Doctor from Chapman University School of Law.