Alaric Compliance Services Director Ann Marie Swanson is a compliance and legal professional and regulatory compliance consultant to investment companies and investment advisers. Ms. Swanson has over 20 years of experience serving as a chief compliance officer and advising registered investment advisers.
Ms. Swanson has extensive experience with the Investment Advisers and Investment Company Act of 1940. Her background includes building and strengthening compliance policies, programs, and risk infrastructure to meet business and regulatory needs. She has been successful helping companies address deficiencies identified by the SEC, Federal Reserve, and other regulators, and in positioning organizations to navigate future regulatory scrutiny.
Currently, Ms. Swanson’s clients include several investment advisers and investment companies.
Prior to joining Alaric, Ms. Swanson held a number of senior legal and compliance positions including: Vice President and Chief Compliance Officer at Schwab/Thomas Partners Investment Management, a privately held adviser; Senior Vice President/ Chief Compliance Officer at Aletheia Research and Management, Inc., a large cap equity growth manager with value and global equity products; General Counsel/Chief Compliance Officer of Transamerica Investment Management, LLC, where she served as CCO for the firm’s mutual funds and managed the legal and compliance department for the registered investment advisor of an institutional asset manager of equity and fixed income products with approximately $16 Billion in AUM; Chief Compliance Officer for the Post Advisory Group, LLC, a high-yield and distressed debt institutional investment manager, hedge fund manager and mutual fund sub-adviser; Head of Risk Management and Compliance for Mellon Financial/Boston Company Asset Management, a registered investment adviser and its affiliated broker dealer with $22 billion in institutional assets of large-cap, mid-cap and small-cap value equity, international equity and fixed income products; and Vice President, Retirement Services Division for Fleet Investment Services, where she developed and implemented policies and procedures to effectively limit and control risk, including the resolution of ERISA administration issues.
Ms. Swanson began her career as a Compliance Examiner for the Department of Labor in the Employee Benefits Security administration. She received her Juris Doctor, Dean’s List, from Suffolk University School of Law; Boston, MA and holds a Bachelor of Arts, cum laude from the University of Massachusetts, Amherst, MA. She is a member of the Massachusetts Bar.
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