Alyssa Heim

About Alyssa Heim

I\'m a Managing Director in our Compliance and Regulatory Consulting practice at Kroll (formerly Duff & Phelps), lead our West Coast team and the Co-City Leader in our Los Angeles office. Prior to joining Kroll, I worked at a New York based consulting firm facilitating the registration process for both SEC and state regulated advisers for the previous three years. I have worked closely with hundreds of advisers guiding them through the registration process, drafting compliance manuals/code of ethics, and assisting with the ongoing implementation of compliance programs. Experience- Registering advisers with the SEC and state authorities- Registering individuals who are required to register with state authorities- Advising firms on compliance infrastructure requirements and best practices- Designing policies and procedures and compliance infrastructures for advisers to hedge funds, private equity funds and traditional wealth advisers- Developing compliance testing programs- Providing tailored compliance training- Assisting clients through SEC exams- Leading SEC mock exams - Conducting annual compliance self assessment for advisers- Completing the annual ADV amendment for investment advisers - Assisting with Form PF filings- Completing firm and individual registrations with the CFTC/NFA

Experience

1. Managing Director

   Kroll

   Mar 2023 — Present · Los Angeles, CA, US

Education

• New York University

  Economics, Business Studies

Skills

• Asset Management
• Valuation
• Wealth Management
• Financial Markets
• Compliance
• Alternative Investments
• Financial Services
• Due Diligence
• Hedge Funds
• Investments
• Strategic Financial Planning
• Investment Advisory