Bernard (Bob) Frize is a Director at Alaric in New York and is an experienced senior level compliance professional with extensive experience including serving as a Chief Compliance Officer at SEC and FINRA registered firms. His product experience includes hedge funds, mutual funds, stocks, options, and, bonds, ETFs, BDC’s, UCITS, derivatives and structure products. Mr. Frize has experience with order management systems, quote providers, and internal proprietary systems; to analyze pre/post trading and best execution. He has participated in a number of SEC and FINRA compliance assessment projects and has successfully managed SEC and FINRA examinations addressing issues under both the Investment Advisers Act and the Investment Company Act. He is qualified for the following securities industry licenses: Series 7 (Registered Representative), 4 (Options Principal), 24 (General Securities Principal), 55 (Equity Trader), 63 (State Law/Agent), 9 and 10 (Branch Manager/General Sales Supervisor).
Prior to his return to Alaric he 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 register investment advisor hybrids while serving as the Registered Branch Manager Designee at LPL Financial branch office.
During his previous tenure at Alaric he served in the roles of a Chief Compliance Officer for the trust and advisor of a $8 billion registered investment company, a Director of Compliance for a $3.1 billion large long/short hedge fund; a Chief Compliance Officer for the $4 billion broker dealer division of an algorithmic trading fund; interim CCO for a $60 billion asset manager at a leading multinational bank; a compliance consultant for $40 billion global asset manager including providing compliance support in the implementation, monitoring and testing of the compliance program for a newly acquired ETFs platform; and as a compliance consultant for a $225 million fund of funds performing monitoring and testing of activities for compliance with SEC regulations.
Mr. Frize spent 10 years at Pershing where he served on a specialized institutional order desk for RIAs, small hedge funds and large family accounts. He also worked as a Branch Control Manager for the Broker Dealer division of Pershing Advisor Solutions. His responsibilities included spearheading Best Execution, monitoring MSRB/TRACE, reviewing OATS, check suitability, and watching for mutual fund timing. He also participated in executive committees, and supervised various trade reports. Along with his trading responsibilities, he approved accounts (KYC, CIP), approves and updates option accounts and monitors checks/wires/journals for possible money laundering.
Mr. Frize graduated from Manhattan College with a BS in Business Administration (Finance).
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