Director and Chief Legal Officer of ALARIC Compliance Services, LLC
Todd K. Warren, Esq. is a Director of Alaric Compliance Services, LLC. He is currently the Chief Compliance Officer of the Direxion Funds, a family of mutual funds, and the Chief Compliance Officer of Rafferty Asset Management, a Registered Investment Advisor. Mr. Warren also serves as the Director of Compliance for the Prudent Bear Funds and for the FFTW Funds. Prior to joining ALARIC he served as Chief Compliance Officer, General Counsel and Vice President of an investment adviser to hedge funds, where he handled compliance and legal matters including: the SEC registration process; compliance manual preparation; policy and procedure development, and implementation; creation and review of marketing materials; contract development, negotiation, and review; all transactional matters; trade break reconciliation; and the launch of an offshore fund. Previously, Mr. Warren was an associate with Greenberg Traurig, LLP, where he specialized in securities and insurance law. His professional experience also includes internships with Cantor Fitzgerald, where he conducted equities research and prepared market and economic reports for publication in the Cantor Morning News, and with Booz Allen Hamilton in management consulting. He is admitted to practice law in New York and New Jersey. Mr. Warren holds an MBA from Cornell University's Johnson Graduate School of Management, a JD from Villanova Law School and a BA from Haverford College.
