ACA Compliance Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators

October 22, 2019

ACA Compliance Group (ACA) is committed to meeting the needs of our clients. We have a deep bench of experienced professionals with practical and first-hand knowledge of the issues our clients face. In the past two months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. New hires in alphabetical order include:

Leigh Emery – Leigh is a Senior Principal Consultant based in Morristown, NJ. Prior to ACA, Leigh held a number of compliance and operational roles, most recently serving as Chief Compliance Officer for Dynasty Financial Partners.

Grazia Gatti – Grazia is a Principal Consultant based in Boston, MA. Grazia previously served as a senior compliance examiner for the NFA’s Swaps Group where she dealt with the review of policies and procedures submitted by US and non-US Provisionally Registered Swap Dealers (SDs) to demonstrate the ability to comply with CFTC regulations implementing Section 4s of the Commodity Exchange Act. Grazia has also served as a compliance manager for AMG and MFS Investment Management, a compliance adviser for Mitsubishi UFJ Securities International and Rabobank International London Branch, and an associate attorney for the international law firm of Dewey & LeBoeuf, LLP.

Rob Ingwer – Rob is a Principal Consultant based in New York, NY. Prior to ACA, Rob was the Regulatory and Controls Officer within Kohlberg Kravis Roberts and Co.’s (KKR) Private Markets group, a senior local compliance officer at HSBC Global Asset Management, a testing officer at HSBC Securities (USA) Inc., and an associate with Orical LLC.

John Maguire – John is a Senior Principal Consultant based in Morristown, NJ. Prior to ACA, John served as the Chief Compliance Officer for a Greenwich, CT based registered investment advisor specializing in direct lending. John also served as Senior Vice President and Compliance Officer at York Capital Management and worked at Goldman Sachs for 10 years in a variety of broker-dealer and asset management compliance roles.

Joey Martinez – Joey is a Senior Principal Consultant based in New York, NY. Prior to ACA, Joey served as General Counsel and Chief Compliance Officer at Trexquant Investment LP. He was also an associate in the investment management group at Schulte Roth & Zabel LLP, an in-house corporate attorney at Teneo Holdings LLC and Castleton Commodities International LLC, and a judicial law clerk in the US Virgin Islands.

Chris Michailoff – Chris is a Senior Principal Consultant based in NY, New York. Prior to ACA, Chris was Associate General Counsel and Senior Director at TIAA. Chris also served as Director of Group Incident and Investigation Management at Deutsche Bank AG, Chief Compliance Officer and General Counsel at Trilogy Global Advisors, LP, Deputy General Counsel and Corporate Secretary at GAMCO Investors, Inc., Counsel and First Vice President at Citigroup Global Markets Inc., and Assistant General Counsel and Vice President at PaineWebber Inc. Chris also held a number of positions at the Securities and Exchange Commission (SEC).

Kim Nassar – Kim is a Senior Principal Consultant based in the Boston, MA with more than a quarter century of experience with investment management compliance and holding positions. Prior to ACA, Kim served as a director for AMG.

John O'Neill – John is a Senior Principal Consultant based in Boston, MA. Prior ACA, John served as Director and Senior Counsel for AMG. Prior to AMG, John served as a senior manager at Deloitte & Touche LLP, and an attorney at the law firm Monahan & Associates, P.C., as well as with Gargiulo, Rudnick & Gargiulo.

Michael Pitts – Michael is a Senior Principal Consultant based in Boston, MA. Previously, Michael served as a director at AMG where he advised AMG affiliates on regulatory requirements and managed the delivery of compliance services. Prior to AMG, Michael served as a senior manager at Deloitte & Touche LLP.

“I’m very excited to be adding this group of top caliber compliance professionals to our staff,” said Daniel Smith, Partner, ACA. “Their diverse experiences and backgrounds ensure we are able to provide the expertise needed to meet our clients’ evolving needs.”

About ACA Compliance Group

ACA is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. ACA is based in New York City and has offices in London, Hong Kong, Malta, and other US cities.

For More Information

For more information about ACA’s compliance services, please contact us here.