Suraj Patel

Managing Director and Chief Compliance Officer at Tangent Capital

Suraj Patel is an experienced legal and compliance professional who has held several key positions in the financial industry. He currently serves as the Managing Director and Chief Compliance Officer at Tangent Capital Partners, LLC.1

Professional Experience

Patel's career includes significant roles in compliance and legal operations:

Managing Director and Chief Compliance Officer at Tangent Capital Partners, LLC: In this role, he manages all aspects of compliance, legal, and operations for a FINRA and SEC-registered broker-dealer.3
Chief Compliance Officer at Robotti & Company: Prior to his current position, Patel served as the Chief Compliance Officer for both the broker-dealer and registered investment advisor arms of Robotti Investment Advisors from 2015 to 2018.1 4

Responsibilities and Expertise

At Tangent Capital Partners, Patel:

Heads up legal, operations, and compliance functions
Directly supervises compliance for over 50 registered representatives
Specializes in regulatory and legal compliance for private securities and investments
Assists non-US managers and investment professionals in setting up US operations1

Educational Background

Patel has a diverse and impressive educational background:

Bachelor of Arts in Rhetoric and English Language and Literature from the University of Michigan, Ann Arbor (Summa Cum Laude)
Master of Sciences in Sociology from the London School of Economics and Political Sciences
Master of Laws in International Business from Fordham University (Magna Cum Laude)
Barrister-at-law, admitted to practice in England and Wales, with degrees from City University (London) and the Inns Court School of Law (London)1

Additional Experience

Before entering the securities industry, Patel worked with the National Wildlife Federation, conducting research on legal, regulatory, and commercial issues related to offshore wind energy development along the Atlantic Coast.1 2

Suraj Patel's extensive experience in compliance, legal operations, and regulatory matters, combined with his diverse educational background, has positioned him as a valuable asset in the financial services industry.