Category: Press

PRESS RELEASE: Expansion Continues at Alaric Compliance Services

April 2019

In April 2019, Alaric Compliance Services, LLC expanded their U.S. compliance team with the addition of two former regulators and a senior compliance officer. These appointments further extend Alaric’s ability to serve the growing demand for its services. The new hires include:

Gregory W. MacCordy, Director, New York. Greg most recently worked at the U.S. Securities & Exchange Commission (SEC) where he was an Industry Expert/Specialized Compliance Examiner in the Asset Management Unit (Enforcement Division) conducting enforcement investigations and working with OCIE conducting on-site exams of investment companies, investment advisers and mutual funds. He has in-depth credit and equity investment experience having worked in the areas of BDCs, CLOs, private equity, hedge funds, real estate, and fixed income trading. Mr. MacCordy began his career as a Special Agent with the Federal Bureau of Investigation conducting financial and counter-intelligence investigations. Mr. MacCordy has extensive capital market’s experience gained through working at TIAA and a hedge fund.

Erik J. Dolan, Director, Washington D.C. metro area. Prior to joining Alaric, Erik worked for three major regulatory bodies including the Municipal Securities Rulemaking Board (MSRB), Financial Industry Regulatory Authority (FINRA) and the United States Commodity Futures Trading Commission (CFTC). While at the MSRB, Erik served as the Director, Professional Qualifications. Previously, Erik served as an enforcement investigator for both the FINRA and the CFTC. In addition to his experience as a regulator, Erik has served as a compliance manager for a large ETF complex, a VP of compliance for an investment banking, research and trading firm and headed the products and services area for an independent broker-dealer and registered investment advisor.

Bernard (Bob) Frize is returning to Alaric as a Director in New York. Prior to his return Bob served as a Senior Compliance Officer at New York Life Investment’s IndexIQ, a developer of index-based alternative investment solutions and ETFs. He also served as a Chief Compliance Officer for two registered investment advisor hybrids and the Registered Branch Manager Designee at LPL Financial branch office. During his previous tenure at Alaric, Bob served in a number of compliance roles including Chief Compliance Officer for the investment adviser and the investment company of a large ETF complex, Director of Compliance for a large hedge fund, a compliance consultant for a fund of funds, a Chief Compliance Officer for the broker-dealer of an algorithmic trading fund, and a Director of Compliance for the asset management division of large International bank.

Guy F. Talarico, Founder and CEO of Alaric, said: “We are very pleased to welcome Greg, Erik and Bob to the Alaric team. Their significant skills and expertise complement our existing team of compliance professionals and allow Alaric to expand its services to meet the growing demand we are seeing from clients across the U.S. and overseas for expert compliance consulting, effective compliance program development and implementation and reliable, customized compliance outsourcing solutions.”

About Alaric Compliance Services LLC

Founded in 2004, Alaric Compliance Services LLC (“Alaric”) provides regulatory compliance consulting services to a diversified and complex client base from startups to mature businesses registered with the SEC, FINRA, and/or CFTC.

Alaric’s team have managed over 100 regulatory examinations as Chief Compliance Officer’s, we are in the unique position of both understanding current regulatory trends and having the hands on experience to offer an approach to regulatory compliance founded on a deep knowledge and application of industry best practices.

For more Information about Alaric’s services including regulatory compliance, technology solutions and cybersecurity programs please contact us here or call us at 1-888-243-2448 or email us at info@alariccompliance.com

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