Kelly Riera
Chief Compliance Officer at TA Associates
- Role
- Chief Compliance Officer at TA Associates
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Kelly Riera
Chief Compliance Officer and Lawyer with 20+ years of experience developing new regulatory compliance programs from the ground up and maintaining on-going programs. Experience includes, but is not limited to- Securities and financial services and regulatory law, including the Investment Advisers Act of 1940 (Advisers Act), US and international fundraising and marketing, and fund and entity management - Experience with Private Equity, Venture Capital and Hedge Fund legal and compliance roles - Development and implementation of firm regulatory registrations including U.S. Securities and Exchange Commission (SEC) and U.K. Financial Conduct Authority (FCA) applications and establishment of on-going regulatory programs - Approved for UK Senior Management Functions including CO and MLRO roles - Managing Luxembourg and Irish vehicle administrations - Drafting compliance policies and procedures, including Code of Ethics and related reporting, creation and execution of firm monitoring and review programs and all other compliance program requirements - Developing internal risk management programs and oversight - Marketing material reviews and approvals under the SEC\'s new Marketing Rule and managing UK and EU AIFMD fund registrations and on going reporting - Management of regulatory reviews, examinations and information requests (SEC, FCA, FINRA, DOJ, Etc.)- Global training program development and implementation - Manage international office expansion efforts and global training programs - Provide portfolio company support and risk management related to anti-corruption, FCPA, export controls, sanctions and similar regulations - Manage the firms AML/KYC/CDD programs as the US, UK and Ireland Money Laundering Reporting Officer - Drafting and review of Non-Disclosure, Confidentiality and other business agreements and contract review - Providing litigation support and strategy
Experience
Chief Compliance Officer
Oct 2010 — Present
Risk management role focused on U.S. and international regulatory law and general legal and compliance oversight. Designed and implemented the global compliance program. Maintain and oversee the firm’s Code of Ethics and personal trading policy compliance. Created and executed the firm-wide monitoring, review and forensic testing program. Established the firm\'s risk and conflicts of interest assessments. Drafted and file the firm’s disclosure documents including Form ADV. Additional duties include SEC Exam management, marketing materials compliance reviews, global regulatory training plan and implementation, NDA reviews, litigation support and other general corporate and legal matters.
Education
Clark University
Bachelor of Arts (B.A.), American Government and Politics (United States)
1998 — 2002
Suffolk University Law School
Doctor of Law (JD), Business Law and Financial Services
2006 — 2010
Semester at Sea via the University of Pittsburgh Shipboard Education
Fall semester 2001, International government and politics
2001 — 2001
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