Bob began his consulting practice in 2016 after serving as General Counsel and Chief Compliance Officer of the Columbia Acorn Funds for eleven years. He started his career at the Securities and Exchange Commission, and afterwards practiced law, served as head of compliance for the Chicago Mercantile Exchange, and regional counsel for UBS/PaineWebber. Bob teaches Compliance for Financial Institutions at Chicago Kent College of Law, and is a frequent panelist and speaker at industry conferences
- 30 years of experience in securities law and compliance
- Chief Compliance Officer and General Counsel of the Columbia Acorn Funds: 2004-2015
- Developed and implemented comprehensive compliance program/oversight and testing process
- Head of Compliance for the Chicago Mercantile Exchange
- Adjunct Professor at Chicago-Kent College of Law teaching “Compliance for Financial Institutions”
- Frequent panelist and speaker at industry conferences
- Former SEC staff member, regional counsel for a broker-dealer and partner in both a law firm and public accounting firm
We engage the assistance of a variety of experts, among them former Chief Compliance Officers, senior executives who have overseen transfer agents and fund accounting and administration functions, consultants who specialize in securities lending, and former Chief Information Security Officers. These individuals bring decades of invaluable experience and judgment to the engagement, and assist us in providing comprehensive and tailored advice.
Bob has worked with lawyers, consultants, executives and fund trustees. References from all of these sources are available upon request.