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Denver Ignacio
Experienced Investment Adviser Compliance Officer - Risk Assessment & Testing - Regulatory Filings - Seeking full-time opportunity
Denver Ignacio is a highly skilled compliance and legal professional with vast experience in developing and overseeing compliance programs across various asset classes and investment audiences. He excels in evaluating and ensuring compliance with key regulations such as Investment Advisers Act Rule 206(4)-7, Investment Company Act Rule 38a-1, ERISA, and FINRA Rule 3110. Denver is proficient in collaborating with business owners to identify risks, establish controls, and document procedures. His expertise extends to advertising regulations like FINRA Rule 2210, Investment Advisers Act Rule 206(4)-1, and Investment Company Act Rule 34b-1, and he successfully managed compliance efforts for Morningstar to adhere to FINRA advertising standards.
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Location
Mount Prospect, Illinois, United States
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