Todd Warren
Chief Compliance Officer and General Counsel at Column Park Asset Management, LP
- Role
- Chief Compliance Officer and General Counsel at Column Park Asset Management, Lp
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Todd Warren
Investment adviser and fund compliance and legal professional with extensive background as CCO, General Counsel, legal counsel, law firm attorney and compliance consultant. Experience includes firms focused on equities, fixed income, loans, structured products, derivatives and commodities. SEC examination experience. JD and MBA from top schools.
Experience
Chief Compliance Officer and General Counsel
Column Park Asset Management, Lp
Jan 2018 — Present · New York, NY, US
Manage all aspects of regulatory compliance for the RIA, funds and separately managed accounts• Manage all in-house legal matters and advise on strategic and general business issues • Supervise all matters involving: Investment Advisers Act of 1940; Dodd-Frank Act; Securities Act of 1933; Securities Exchange Act of 1934; Commodity Exchange Act; SEC; FINRA; CFTC; NFA; etc.• Draft, maintain and update all written compliance policies and procedures • Prepare and negotiate documents including contracts, PPMs, OMs, IMAs, NDAs, RFPs, LOIs, DDQs, ISDAs, CDEAs, etc, and advise regarding same • Monitor, review and test trading activities and portfolios for compliance with trading and investment guidelines, best execution, allocations, material non-public information, and other compliance matters • Draft, revise and monitor all marketing materials and activities for compliance with regulatory requirements as well as internal policies and procedures• Monitor, review and test personal trading activities for compliance with regulations and the Code of Ethics• Review and monitor fees and expenses for compliance with regulatory guidelines and internal policies• Prepare all regulatory documents and filings
Education
Villanova University School of Law
JD
1994 — 1997
Cornell Johnson Graduate School of Management
MBA
2001 — 2003
Haverford College
BA, Psychology
1985 — 1989
Skills
- Hedge Funds
- Securities Litigation
- Commercial Litigation
- Financial Services
- Securities Regulation
- Litigation
- Corporate Law
- Due Diligence
- Finra
- Securities
- Alternative Investments
- Investments
- Equities
- Asset Management
- Mutual Funds
- Structured Finance
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