Christopher Ray

About Christopher Ray

I am a regulatory compliance professional with approximately 20 years of experience as a Chief Compliance Officer, SEC examiner, senior compliance officer, and regulatory consultant. For nearly 20 years I have been interpreting, synthesizing, and communicating regulatory requirements to senior management, CCOs, and GCs at some of the largest and most successful asset managers. I specialize in SEC compliance for investment advisers to hedge funds, private equity funds, and separately managed accounts. I primarily work with private fund managers to enhance or develop their regulatory compliance program, understand regulatory expectations, and adopt industry best practices. I have also coordinated and conducted mock SEC inspections and annual compliance reviews, assisted clients during actual SEC inspections, delivered compliance training sessions, and developed customized policies, procedures, and compliance monitoring programs. My objective is to provide practical guidance that is easy to implement and equally consistent with regulatory requirements, industry best practices, and SEC exam staff expectations.

Experience

1. Chief Compliance Officer

   North Rock Capital Management, LLC

   Sep 2021 — Present · New York, NY, US

Education

• Canisius University

  Bachelor's degree, Finance, General

  1990 — 1995

• Canisius University

  Master of Business Administration (M.B.A.)

  1995 — 1997

Skills

• Hedge Funds
• Mutual Funds
• Investments
• Fixed Income
• Alternative Investments
• Capital Markets
• Equities
• Derivatives
• Asset Managment
• Investment Management
• Financial Markets
• Trading
• Securities Regulation
• Commodity Markets
• Foreign Exchange
• Valuation
• Aml
• Dodd-Frank
• Operational Risk Management
• Futures Trading
• Asset Management
• Investment Advisory
• Compliance
• Securities
• Bloomberg
• Fund of Funds
• Options
• Anti Money Laundering