Kip Moran

Role: Managing Consultant at Moran Compliance Consulting Llc
Location: Southampton, PA, US
LinkedIn followers: 500 followers

General Business & ManagementView LinkedIn profile

About Kip Moran

I am an accomplished chief compliance executive with over 25 years of experience…

Experience

Managing Consultant
Moran Compliance Consulting Llc
Sep 2021 — Present · Philadelphia, PA, US
I provide investment advisor, investment company, and private fund compliance consulting services to direct clients and as an independent contractor to compliance consulting firms. Services include mock audits, Rule 206(4)-7 and Rule 38a-1 compliance reviews, SEC examination support, writing policies and procedures and codes of ethics, designing testing and controls, remediating risks and conflicts of interest, trading reviews, regulation analysis, regulatory filings, project management, and training. I am also available for temporary assignments.

Skills

Fixed Income
Hedge Funds
Mutual Funds
Equities
Alternative Investments
Investments
Asset Management

Contact information

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Work email
•••••@morancompliance.com
Personal email
•••••@•••••.com
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Current company

Moran Compliance Consulting Llc

Investment Management · 1 employees · Founded 2021 · Philadelphia, Pennsylvania, United States

Most compliance consultants learned the rules from a textbook. We learned them by enforcing them. Moran Compliance Consulting was founded by a former Senior Securities Compliance Examiner at the U.S. Securities and Exchange Commission — someone who personally conducted over 150 regulatory examinations of registered investment advisers, investment companies, and private funds. We know exactly what examiners look for, because we were the ones looking. After leaving the SEC, our managing consultant served as Chief Compliance Officer at an institutional asset management firm, where he built the compliance program from the ground up, launched ten private funds, and guided the firm through multiple successful SEC examinations — with the last exam finishing with zero deficiencies or comments. That background is what you get when you work with us. Not a junior associate. Not a checkbox exercise. The expert, every time you call. We work with: • Registered Investment Advisers (RIAs) • Hedge funds, private equity, credit, real estate, and life settlement funds • Investment companies and private funds navigating SEC examination What we offer: • Outsourced CCO services • Compliance program support and reviews • Mock SEC examinations and annual Rule 206(4)-7 / Rule 38a-1 reviews • SEC examination support and deficiency letter responses • Marketing and advertising compliance reviews • Automated compliance system setup and guideline monitoring We work with a select number of clients at any one time — so every engagement gets the attention it deserves. Fees are hourly or project-based, and all engagements start with a compliance program review so we can tailor our work to your needs and budget. Ready to build a compliance program that\'s genuinely built to pass an examination? 21••••••56 i•••@morancompliance.com morancompliance.com Start a relationship now and gain SEC examination guidance you hope you will never need!

morancompliance.com

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About Kip Moran

Experience

Managing Consultant

Skills

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