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The Chief Executive Officer of a growing investment adviser with multiple global subsidiaries recognized the need for a more senior human resources leader to support the firm's significant investment in an Asian expansion.
A Small Cap Manager Investigates What A 2.0 Trader Could Do For Alpha Generation
"The most effective educators are those who teach from experience in a similar setting. ReGroup marshaled deep experience in the investment management industry to provide practical, actionable advice to seasoned and new compliance professionals alike."
Maureen M., Vice President and Chief Compliance Officer
“ReGroup's assessment gave our senior management team greater insight into the needs of our trading and operations teams, and the resulting procedures provided an elegant way to reduce our historical over-reliance on a single experienced employee.” – Daniel H., Director of Operations
Daniel H., Investment Operations Manager
A large West Coast mutual fund manager requested an assessment of the firm’s governance framework.
"Our firm's growth was faster than we anticipated, and our legal and compliance services didn't keep up. When we also needed to support changes in key professionals and expansion into Asia, we knew it was time to rethink our structure and resources in a smarter way to support the firm. ReGroup's industry knowledge and actual experience in the job was immediately credible. The process was efficient, smart, and thorough. Our results are happier internal clients, a lower-stress environment, and a more nimble ability to serve the firm's needs while managing costs."
Tim P., General Counsel
"ReGroup taught me how to instill a shared sense of ownership and accountability across our team so we could meet our firm's 'white glove service' standard in a time of extraordinary growth. Ann helped me focus on what could add value and develop the confidence to set aside what didn't."
Nicole G., Head of Investment Operations
A $2B alternatives manager in Southern California required a Chief Compliance Officer for its advisory, brokerage, and futures compliance programs. The firm had aggressive growth goals, highly complex products, an ambitious “Type A” culture, and an unusual geographic location
During a routine inspection, the staff of the Office of Compliance Inspections and Enforcement of the US Securities and Exchange Commission (OCIE) took a dim view of the fact that the investment adviser and affiliated mutual funds had an outsourced Chief Compliance Officer.
Shareholders of a successful public closed-end fund had approved an expansion of the company’s activities to include the potential development of new products and the creation of an asset management subsidiary.
"I hired ReGroup to coach me through extreme change in our firm when distractions (and expectations for success) were high. ReGroup absorbed complexity and pushback with thoughtful consideration of the facts, then provided solutions scaled to our size."
Kim T., Chief Compliance Officer and General Counsel
The board of a global family of mutual funds requested a compensation analysis for their chief compliance officer. Our client was concerned that the amount and structure of the CCO's compensation was lagging in an increasingly competitive marketplace
"In two days, senior-level executives who had rarely worked together walked away with a shared purpose and mission. Three years later the operations management group continues to deliver outstanding leadership and coordinated internal service efforts."
Michael W., Executive Vice President and General Counsel
"Having worked with Ann Oglanian in the past, I expected nothing less than the high level of professionalism and work quality we received. ReGroup made the mock SEC audit real for us. It was a great learning experience and the feedback we received was incredibly valuable as it was sensitive to our firm’s unique situation and perceived risks."
Doug P., Chief Compliance Officer
Facing increased due diligence from institutional investors, the CEO of a $2B SEC registered investment adviser sought to establish a code of ethics program.
A mutual fund complex and an affiliated registered broker-dealer needed to conduct an annual independent AML program audit to satisfy regulatory requirements set forth by the USA PATRIOT ACT and FINRA Rule 3310.
A multinational insurance company managed $70B AUM in captive assets of its parent company and global affiliates.
A Small/SMID-cap manager with a 20-year history, small employee base, and just over $2B AUM, wanted transparent and effective systems that could support expected growth and shifting regulatory and institutional client expectations.
"We worked with ReGroup to help our firm successfully navigate multiple management changes. They exceeded my expectations - the hands-on nature of the services they provided, their ability to identify with our employees, and the level of insight they provided were exemplary."
James T., President and General Counsel
“In order to do risk management well, you need to understand the business. ReGroup understands the business. ReGroup helped us understand the depth we needed to go to make sure the right framework was in place – that was our safety net.
Jayne E., Senior Portfolio Manager
"This committee and Ann’s involvement as an independent compliance expert have become an invaluable resource to the firm and an integral part of our risk management efforts."
Peter G., Chief Compliance Officer and General Counsel
A mid-sized registered investment adviser’s compliance testing revealed the need for a clear, consistent compliance training program for both new and current employees.
A small cap manager with 4 billion AUM, a twenty-year operating history, and 18 employees, sought to capture repeatable tasks, regulatory requirements and client deadlines, and to create clearer reporting to senior leaders.
The founders of a growing institutional Small and Mid Cap manager with limited product capacity and excellent investment performance wanted to assess the back-office infrastructure, processes, and staff against an anticipated 100% growth in AUM over a three-year period.
A large, registered investment adviser wished to restructure its product information team to increase operational efficiency.
In order to improve its operational efficiency, a $2B SEC-registered private fund manager purchased and implemented a compliance management system to assist in the administration of the firm’s code of ethics.
"ReGroup engineered a special experience for our company that rewarded high potential employees, identified prospective leadership, and applied our best and brightest to some of our toughest problems. The opportunity to work with highly skilled colleagues in a fun, competitive, and well-defined setting allowed us to drill down into incredibly difficult topics with great results for participants and the firm.”
Lei L., Senior Vice President and Head of IT
“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”
Todd S., Chief Compliance Officer
"I trust ReGroup implicitly. I know they are on the right track, and I know enough about compliance to know this. Everything they uncovered has been pointed out for a good reason."
Robert L., President and CEO
A privately-held, $40B asset manager had expanded its UK-based operations to the US, necessitating its registration with the SEC and adherence to US federal guidelines.