Moran Compliance Consulting was founded on a straightforward idea: investment advisers and fund managers deserve compliance counsel from someone who has actually sat across the table — as the SEC examiner.

Background

Before founding Moran Compliance, our managing consultant served as a Senior Securities Compliance Examiner at the SEC, where he personally managed more than 150 regulatory examinations of registered investment advisers, registered investment companies, and private funds. That role provided a firsthand view of the practices, disclosures, and operational gaps that draw regulatory scrutiny.

Following that experience, he served as Chief Compliance Officer at an institutional asset management firm, where he helped bring ten private funds to market and built and managed the firm’s compliance program from the ground up — and guided it through a multiple successful SEC examinations with no deficiencies or comments on their last examination.

Credentials

• Former Senior Securities Compliance Examiner, U.S. Securities and Exchange Commission

• Former Chief Compliance Officer at a quantitative institutional asset manager

• Former Certified Public Accountant (inactive)

• Investment Adviser Certified Compliance Professional (IACCP®)

• CFA Institute Investment Foundations Certificate

• Securities Industry Essentials (SIE) Exam

Our approach

We believe compliance counsel should be warm, direct, and free of jargon. Our job is to make sure you understand your obligations clearly — and that your program is genuinely built to pass examination, not just to check boxes.

We work with a select number of clients at any given time so that every engagement receives the focus it deserves. When you call, you speak with the expert.