Jeanmarie Petersen is a Vice President at Alaric. Her experience includes working with chief compliance
officers in establishing compliance programs for SEC, FINRA and CFTC registered firms. Her product
experience includes hedge funds, U.S. and offshore registered investment companies, separately
managed accounts, private funds, mutual funds, BDCS, options, retirement plans, derivatives, and
commodity pools. She has prepared clients for SEC, FINRA and CFTC examinations.
Since joining Alaric, Ms. Petersen has served as a compliance consultant to several investment advisers,
broker-dealers, business development companies and private funds ranging from startups to firms with
over $2.5 billion in AUM. She works with the chief compliance officers and their clients to implement
and manage web-based technology platforms for compliance program monitoring and testing, and Code
of Ethics administration.
Prior to joining Alaric, Ms. Petersen served as a full time compliance associate for SkyBridge Capital, a
New York-based registered investment adviser (“RIA”) and commodity pool operator (“CPO”) with more
than $12 billion in assets. Ms. Petersen reported to the General Counsel and Chief Compliance Officer,
along with the Senior Compliance Officer. Her responsibilities included internal RIA and CPO testing
along with assistance in 1940 Act mandated Rule 38a-1 testing and reporting to the registered
investment company independent Board of Directors; overseeing Code of Ethics compliance; reviewing
compliance guidelines for an affiliated mutual fund; and helping to prepare and/or review regulatory
filings, exams and mock audits, including NFA/CFTC filings as well as SEC Form ADV, Form PF and Form
13F, FINRA and NFA exams.
Ms. Petersen received an M.A. in Business Management from Wake Forest University and a B.A. in
French and Statistics from Mount Holyoke College.
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