Joe is a seasoned leader with over 20 years of extensive compliance expertise, broad and deep operational experience, and product knowledge. Through MCG, He provides expertise in developing and maintaining compliance programs within the trust, banking and asset management business. His area of expertise covers the Investment Advisers Act of 1940, Investment Company Act of 1940, and various rules under FINRA, NASD, OFAC, and Privacy. His product knowledge includes equity and fixed income securities, mutual funds, wrap fee programs, structured security products, private placements, hedge funds, brokerage, private equity and traditional banking products.
Prior to MCG, Joe was a Managing Director, Global Head of Compliance and Chief Compliance Officer for AIG Asset Management LLC. In this role he directed and controlled the overall global compliance program and strategy for AIG Asset Management LLC. He coordinated compliance matters and managed colleagues from various global regions to implement and resolve compliance policies and matters. Joseph was also the Director and Head of Compliance for Deutsche Bank Private Wealth Management for the Americas Region and the Chief Compliance Officer of Deutsche Bank Alex. Brown a SEC registered investment adviser. A former SEC staff member, Joseph is also a FINRA registered arbitrator.