Gerald (Jerry) Cummins
Director

Gerald (Jerry) Cummins is a Director at Alaric Compliance, and career asset management professional with significant compliance and industry experience.

Currently, Mr. Cummins serves as the chief compliance officer for a $1.0 Billion RAUM private equity firm, an adviser to a structured credit fund, an exchange listed (NASDAQ) business development company and an exchange listed (NASDAQ) closed end fund. He provides Rule 206(4)-7 compliance program monitoring and testing support to the adviser of a registered alternative investment fund and consults to one additional private business development company.

Before joining Alaric, Mr. Cummins was a consultant for Barclays Capital Inc., where he participated in numerous compliance projects on pricing and valuation.

Prior to his consulting work at Barclays, Mr. Cummins was the COO and CCO for BroadArch Capital and the CFO and CCO to its predecessor New Castle Funds, a long-short equity asset manager with over $1 billion in AUM.

Mr. Cummins spent 25 years at Bear Stearns Asset Management (BSAM), an asset manager with over $25 Billion in AUM. At BSAM, he was a Managing Director and held senior compliance, controller and operations risk positions. He served as a member of the Risk, Best Execution and Pricing Committees that oversaw 25 hedge and private equity funds. He also served as the head of the hedge fund business controllers unit, and participated in the structuring and launch of numerous hedge funds and fund of funds across multiple strategies. Throughout his career, Mr. Cummins has successfully managed or participated in multiple SEC routine examinations, inquiries or investigations.

Mr. Cummins held the Series 7 license for 24 years and the Series 4 (Registered Options Principal) for 11 years. He graduated with a BA in Mathematics from Fordham University in 1983.

Book an Appointment

Call us:1.888.243.2448
Or Email Us: info@alariccompliance.com to schedule a phone appointment

Contact Us
×
Request a Proposal