Joshua Katz
Director, Chief Compliance Officer at Rayliant Investment ResearchChief Compliance Officer at Affinity Investment Advisors, LLC
- Role
- Director, Chief Compliance Officer at Rayliant
- Location
- Newport Beach, CA, US
- LinkedIn followers
- 500 followers
About Joshua Katz
Chief Compliance Officer with 20+ years in financial services, specializing in SEC-registered investment advisers and ETF compliance across U.S. and Asian markets. CFA charterholder with deep expertise spanning compliance program design, regulatory affairs, investment operations, and firmwide governance. Known for building scalable compliance frameworks, navigating complex regulatory environments, and bridging compliance with investment, legal, and operations teams. Currently serving as dual CCO for both Rayliant Investment Research and Affinity Investment Advisors.Specialties: ETF Compliance (Rules 6c-11, 18f-4, 12d3-1), Advisers Act Oversight, SEC Regulatory Affairs, Compliance Technology (ComplySci, Skematic), Investment Operations, GIPS Performance Reporting, Bloomberg, Advent Axys, Morningstar Direct
Experience
Director, Chief Compliance Officer
Mar 2025 — Present · Newport Beach, CA, US
Chief Compliance Officer for an SEC-registered investment adviser specializing in quantitative, factor-based ETFs and institutional strategies across U.S. and Asian markets. Responsible for all aspects of the firm\'s compliance programs — from Advisers Act oversight (Rules 204A-1, 206(4)-7, 206(4)-1) and ETF regulatory requirements (Rules 6c-11, 18f-4, 12d3-1) to board reporting and proactive regulatory engagement.Key contributions include implementing firmwide policy improvements across marketing, conflicts of interest, and personal trading oversight, and deploying modern compliance infrastructure (ComplySci, Skematic) to support a growing, innovation-driven organization.
Education
University of California, Irvine - The Paul Merage School of Business
MBA, Finance & Information Technology
1999 — 2001
UC San Diego
BA, Economics
1991 — 1995
Skills
- Strategy
- Sap
- Due Diligence
- Hedge Funds
- Fixed Income
- Investments
- Asset Managment
- Financial Modeling
- Economics
- Dcf
- Asset Management
- Finance
- Alternative Investments
- Financial Analysis
- Portfolio Management
- Start-Ups
- Bloomberg
- Real Estate
- Trading
- Analysis
- Business Objects
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