Kip Moran
Managing Consultant
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Kip is an accomplished chief compliance executive with over 30 years of experience in overseeing and leading organizations' regulatory and operational compliance. Before founding Moran Compliance, he was most recently the Chief Compliance Officer for AJO (prior to its closure), a Philadelphia-based quantitative equity asset manager that sponsored and advised private funds, commodity pools, separate accounts, and U.S and foreign investment companies. AJO’s most recent SEC examination resulted in no deficiencies or comments.
Prior to AJO, Kip was the Fixed Income Compliance Manager at Deutsche Asset Management. He managed a compliance team responsible for monitoring over $140B in fixed-income assets, including stable value, bond index, active bond, specialty fixed income, high yield, municipal bond, and insurance mandates.
Prior to Deutsche, Kip was a Senior Securities Compliance Examiner/Senior Staff Accountant in the Philadelphia Office of the U.S. Securities and Exchange Commission. He managed over 150 comprehensive regulatory examinations of investment companies, investment advisors, private funds, fund administrators, and affiliated transfer agents.
Kip is a former Certified Public Accountant (inactive) and adjunct college accounting instructor. He is an Investment Adviser Certified Compliance Professional (IACCP®). He received the CFA Institute Investment Foundations Certificate and passed the Securities Industry Essentials exam. He is an arbitrator with FINRA Dispute Resolution Services and the National Futures Association.
Kip earned an M.B.A. in Finance from Thomas Jefferson University and a B.S. in Accountancy from The College of New Jersey. He is a member of the Business + Innovation Department Advisory Board at Bucks County Community College and serves as the Finance Officer for the Sons of the American Legion Post 798.
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info@morancompliance.com
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