Rachel Schatten

About Rachel Schatten

As General Counsel, Chief Compliance Officer and Head of HR of StoneCastle, Rachel leads the legal, compliance and HR teams and is responsible for all day to day legal, compliance and HR matters for the firm and their affiliates. She also serves as the General Counsel, Chief Compliance Officer and BSA/AML/OFAC Officer for StoneCastle Trust Co, a New Hampshire non-depository trust company. She recently served as the General Counsel of StoneCastle Financial Corp, a closed end investment company focused on the banking sector (NASDAQ Ticker \"BANX\"). She has over 20 years of experience in investment management focusing on investment funds (domestic and offshore), investment advisers, broker-dealers, securities regulation and corporate governance. Prior to StoneCastle, she served as U.S. General Counsel and Chief Compliance Officer of an international fund of funds, and the General Securities Principal of its affiliated broker-dealer. In private practice, she counseled investment advisers on the development and structuring of new hedge funds, including domestic and offshore entities, master feeder funds, and funds of funds. She has her Series 7, 63 and 24 licenses. Ms. Schatten graduated Cum Laude from Albany Law School of Union University, where she was an associate editor of the Albany Law Review and a member of both the Justinian Society and Dean’s List.

Experience

1. General Counsel, Chief Compliance Officer and Head of HR

   Stonecastle

   Jul 2013 — Present · New York, NY, US

Education

• Albany Law School of Union University

  Doctor of Law (J.D.), Cum Laude, Law

• Binghamton University

  Bachelor's degree, Political Science and Government