Gregory W. MacCordy

Gregory W. MacCordy is a Director at Alaric Compliance Services LLC and an experienced compliance, risk and subject matter expert with over 30 years of regulatory and financial services experience.  Most recently he worked 4 years at the U.S. Securities & Exchange Commission (SEC) where he was an Industry Expert and Specialized Compliance Examiner in the Asset Management Unit (Enforcement Division) conducting enforcement investigations of investment companies, investment advisers and mutual funds in the areas of BDCs, CLOs, private equity, hedge funds, real estate, and fixed income trading.   Mr. MacCordy also worked with the SEC’s Office of Compliance Inspection and Examination (OCIE) conducting exams of investment advisors and investment companies compliance policies and procedures and violations of securities laws. While at the SEC, he taught credit and equity modeling valuation and compliance under FASB ASC 820 and the analysis of operating structures and risk for credit products.

Mr. MacCordy has a thorough knowledge of the Investment Company and Investment Adviser Acts of 1940, Compliance rules 206 (4)-7 and 38a-1 and Dodd Frank rules for liquidity and derivative usage. His product knowledge includes direct lending and leverage loans, CLO collateral management and trading, BDC management, CDOs, fixed income, mutual funds, private equity, hedge funds and real estate and credit derivatives.

Mr. MacCordy began his career as a Special Agent with the Federal Bureau of Investigation where he conducted financial and counter-intelligence investigations before obtaining his MBA in finance.   Mr. MacCordy gained his capital market’s experience by working at TIAA for 18 years in positions of increasing responsibility. While at TIAA he built and managed a $13 billion portfolio of global fixed income and direct credit lending and also developed the risk and compliance program policies and procedures for the team.  His experience at TIAA also included managing $1B CLO, private equity, ABS, and related portfolio valuation, stress testing and reporting.

Following TIAA, Mr. MacCordy worked at a $5 billion multi strategy hedge fund hedge fund (direct lending, leverage loans, private equity & real estate, and BDC) where he was co-chair of the investment committee and managed investment compliance.  He also worked at a FINRA registered broker-dealer conducting client and new transaction due diligence and consulting for banks in credit compliance for mortgage and RMBS products.

Mr. MacCordy graduated from the University of Missouri with a Bachelor of Science & Business Administration in Accounting, and from New York University Stern School of Business with a MBA in Finance.

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