Experienced investment adviser compliance professionals with a deep rooted operationally focused hands-on approach.
While the others are blogging and posting about it, we are doing it.
Makes us your Ally and Compliance Partner.
ABOUT US
Ally Compliance Partners (ACP) is a boutique compliance consulting firm that provides outsourced compliance solutions along with the more traditional consulting services for registered investment advisers. ACP differs itself from our peers by our deep rooted operationally focused hands-on approach that is needed for the most effective compliance solutions. The ACP team has nearly 100 years of combined experience in the global asset management industry within all the key areas of an adviser's business (compliance, trading, back-office, middle-office, technology, financial reporting).
We seek to provide a limited number of investment adviser clients with bespoke compliance services and solutions.
SERVICES
Backed by a team of highly experienced professionals, our bespoke services meet the needs of all types and sizes of clients and deliver lasting changes. Please get in touch with us today to learn how Ally Compliance Partners, LLC be your Ally and Compliance Partner.
Sleep better at night. Grow and streamline your business via strategic outsourcing.
OUTSOURCED CCO / MANAGED COMPLIANCE SERVICES
Do you wear multiple hats and the ever growing the responsibilities as CCO are wearing you down and distracting you from growing the business? Did your CCO leave unexpectedly? Is your CCO just not qualified to manage your business risk? Are you looking to develop your compliance program so you can compete in the large institution searches? Let us act as your CCO. Need more? We can provide a highly experienced compliance professional as your CCO along with a team to manage the supporting compliance functions.
OTHER MANAGED COMPLIANCE SERVICES
Are you the CCO with no support team? Are you behind on your email review and never seem to get caught up? Are you simply collecting your employees brokerage statements but never get around to the critical testing? Is your email full of marketing material awaiting your approval? Are 3rd Party Service Provider Reviews poorly completed with minimal documentation or infrequently completed? Let us be your outsourced solution to all those important but time consuming compliance tasks. Need help? We can provide outsourced services on an individual or packaged basis.
COMPLIANCE CONSULTING
Is your Annual Compliance Program stale? Your Risk Assessment an afterthought? Are you worried that your compliance program does not prevent, detect, and correct? Are your critical compliance documents off-the-shelf and in need updating. Are you a CCO that needs support performing the Annual Review? Are expensive legal costs preventing you from getting that much needed second opinion? Policy Gap Analysis or Mock Exam? Need support? We can provide both standard and bespoke consulting services. Let us be an extension to your compliance program. With nearly 100 years of combined hands-on experience, our staff has the capabilities and expertise to take your compliance program to the next level.
Consult with the experts.
Avoid deficiencies.
Need More shit
Advancement via automation.
COMPLIANCE SYSTEMS IMPLEMENTATION
Are you waiting to implement automated systems because you lack the time or experience? Let us draw on our vast experience with numerous compliance related systems and assist in the implementation and deployment. The ACP Team has experience with the following systems:
Electronic Communications Recordkeeping Applications:
Smarsh, Global Relay
Trading and Portfolio Compliance Applications:
Linedata, MOXY/ADVENT, CRD
Compliance Program Applications:
BasisCode, Schwab Compliance Technologies, STAR
OUR TEAM
Joe has over 25 years of compliance experience working in the investment management industry. As an outsourced Chief Compliance Officer, he, as the Managing Member of Ally Compliance Partners (“ACP”) (formerly the CCO Outsource Division of Focus 1 Associates), serves as the designated CCO for a limited number of SEC registered investment advisers. Joe also provides industry and regulatory perspective to other client engagements and helps drive the success and over all deployment of ACP’s cloud-based compliance program services.
Previously, Joe served as Global Chief Compliance Officer for Oechsle International Advisors (“Oechsle”), formerly an SEC registered investment adviser domiciled in Boston, MA with additional offices in Asia and Europe. For the past 14 years, Joe was responsible for administering the firm’s global compliance program in jurisdictions in and outside of the United States, which encompassed working under the guidance of several regulatory entities including: the SEC, SFC, FCA, BaFin, and the BCSC.
In addition to Joe’s role as CCO, he served as Oechsle’s Director of Operations, where he was responsible for managing the firm’s vendors, front/middle/back-office systems, and the outsourcing of technology and legal. Prior to being appointed Oechsle’s Global Chief Compliance Officer, he held a Senior Compliance Officer position where he helped support the overall compliance function.
Before joining Oechsle in 2004, Joe held the position of Compliance Manager for Putnam Investments, and Compliance Analyst for State Street, and Scudder Stevens and Clark. Joe’s investment management experience includes working with long-only and long-short strategies for both equity and fixed income mandates in a variety of account structures including separate accounts, mutual funds, private funds, and wrap and UMA platforms; responsibilities ranging from compliance, GIPS® compliance, internal audit, technology, legal, and business management.
JOSEPH STOWELL
Managing Principal
Chris has over 20 years of compliance experience working in the investment management industry, and as a Senior Manager with Ally Compliance Partners (formerly the CCO Outsource Division of Focus 1 Associates) Chris serves as the Deputy CCO , for a limited number of SEC registered investment advisers, where he is responsible for supporting the CCO.
Chris also provides industry and regulatory perspective to ACP’s consulting staff and client engagements and helps drive the success and over all deployment of ACP’s cloud-based compliance program services. Chris also helps support forensic testing for annual compliance reviews and mock SEC examinations.
Previously, Chris was a Senior Advisor at Fidelity Investments responsible for establishing and maintaining client, regulatory, and internal limitations within the Compliance rules-based system. Chris also spent 13 years working as the Director of Compliance (“DOC”) at Oechsle International Advisors (“Oechsle”), formerly an SEC registered investment adviser domiciled in Boston, MA with additional offices in Asia and Europe. While at Oechsle, Chris was responsible for assisting the Chief Compliance Officer in administering the firm’s global compliance program.
In addition to Chris’ role as DOC, he served as Oechsle’s Chief Compliance Officer of Canada as well as the designated Compliance Officer for their German Branch responsible for oversight and legal adherence to BCSC and BaFIN regulations. He also served as Oechsle’s Code of Ethics Officer charged with ensuring compliance with the Firm’s Code of Ethics policies. Before joining Oechsle in 2004, Chris held the position of Assistant Vice President for Putnam Investments responsible for ensuring investment compliance for Putnam Retail and Institutional Accounts.
Chris’ investment management experience includes working with long-only and long-short strategies for both equity and fixed income mandates in a variety of account structures including separate accounts, mutual funds, private funds, and wrap and UMA platforms; responsibilities ranging from compliance, GIPS® compliance, internal audit, technology, legal, and business management.
CHRISTOPHER GELINAS
Deputy Chief Compliance Officer
Jeff has 20+ years of experience in the financial services industry. As a Compliance Consultant with Ally Compliance Partners (“ACP”), Jeff is responsible for compliance program testing and associated operations for ACP’s clients with Managed Services. Additionally, Jeff performs the role of Code of Ethics Administrator.
Prior to joining ACP, Jeff worked in fund accounting at JP Morgan Chase as an Account Manager where he coordinated all aspects of daily NAV preparation, compliance and risk management for high-profile institutional clients.
For the 11 years prior to JP Morgan Jeff served as a Senior Accounting Associate at Oechsle International Advisors where he was responsible for all aspects of account reporting and trade operations for a subset of clients. Additionally, Jeff was the division’s coordinator for the annual SOC Report. During his time at Oechsle, Jeff supported other areas of the business having spent 3 years on the trading desk and he was the operations liaison for projects with the compliance and marketing groups.
Before joining Oechsle, Jeff held the position of Account Manager for Investors Bank & Trust for 5 years.
JEFF SANTAGATE
Compliance Consultant
PAUL FOLEY
Compliance Consultant
Paul has over 25 years of experience in the investment management and brokerage industries. As a Compliance Analyst with Ally Compliance Partners, Paul is responsible for compliance program testing and associated compliance operations for ACP’s clients within ACP Managed Services.
For the two and half years prior to joining Ally Compliance Partners, Paul was a Financial Representative for Horizon Financial Group. He was responsible for assisting clients in navigating 403b, IRA, Roth, 529 College Savings Plans, Rollover Consultations, Mutual Funds and Asset Management Programs.
Prior to Horizon, Paul spent 17 years as the Trading Operations Manager and Securities Trader at Oechsle International Advisors (“Oechsle”). Paul was responsible for managing operational aspects of the Oechsle’s Trading Department, acting as a liaison for with Compliance, Marketing, Accounting and IT departments. Paul was also responsible for overseeing Oechsle’s Program and Foreign Exchange Trading.
Prior to joining Oechsle in 2000, Paul was an Institutional Brokerage Operations Manager at Fidelity Investments leading a team responsible for supporting the Fidelity Capital Markets Trading desk. As an operations analyst at Charles Schwab, Paul gained experience in the Brokerage Operations, Stock Loan areas of the company.
GINA STOWELL
Corporate Operations Manager
Gina has over 6 years of experience in the investment management industry in the areas of compliance and fund reporting while working at Putnam Investments in the early 2000s. As the co-owner of Ally Compliance Partners, Gina is responsible for overseeing Accounting and Corporate Operations. Gina helps to ensure a cohesive and smooth process for client onboarding, billing and communications, while also managing a variety of in-house projects designed to help improve ACP’s service delivery and overall client experience. Additionally, Gina supports the ACP Team in completing administrative compliance tasks relating to the administration of ACP client’s code of ethics and email review.
Prior to Putnam Investments, Gina was a staff auditor for 2 banks and a clothing licensor.
CONTACT
For any inquiries, questions or commendations, please call (617) 304-0117 or Fill out the following form below.