Alaric Director Carl M. Rizzo is an experienced asset management compliance attorney and consultant with 25+ years of experience addressing the regulatory compliance needs of a broad range of investment advisers, administrators, distributor/placement agents and service providers of private and publicly offered investment companies. At Alaric, Mr. Rizzo has served as interim Chief Compliance Officer for a major institutional fixed-income asset manager with $110 billion AUM. He currently serves as Chief Compliance Officer for two exchange-listed business development companies and their respective investment advisers, and regularly leads SEC “mock audits” and other regulatory compliance consulting engagements for the firm.
Before joining Alaric in 2011, Mr. Rizzo served as Senior Principal Consultant with a leading regulatory compliance consulting firm. There, in a span of three and a half years, Mr. Rizzo led or participated in 80+ SEC compliance program design, installation, and assessment engagements. Previously, for eleven years, Mr. Rizzo served as principal in-house regulatory compliance attorney for the investment management units of several well-known firms in the bank and insurance segments of the U.S. asset management industry.
Mr. Rizzo began his compliance career serving as Senior and Special Counsel on the staff of the SEC's Division of Investment Management. In this role, Mr. Rizzo reviewed 200+ post-inspection referrals from the inspection staff to the enforcement staff. He also participated in oral presentations to the SEC commissioners seeking staff authorization to bring enforcement actions in over 60 separate cases.
A graduate of Davidson College and the University of Richmond's T.C. Williams School of Law, Mr. Rizzo also holds a Masters of Law degree in federal securities regulation from Georgetown University and is an associate member of the Virginia State Bar.
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