Rob Spengler is a Director at Alaric with 15 years of experience in the financial services industry. At Alaric he is responsible for providing compliance services to registered advisers, registered funds and broker-dealers with respect to the rules and regulations of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and FINRA.
Prior to joining Alaric, Mr. Spengler was employed as a compliance consultant for two regulatory compliance firms where he was responsible for the development, implementation, testing and monitoring of compliance programs pursuant to Rule 206(4)-7 and Rule 38a-1 under the Advisers Act and 1940 Act, respectively. He has worked with clients ranging from startups to firms with over $10 billion in Assets Under Management, including investment advisers, broker-dealers and registered investment companies.
Mr. Spengler began his compliance career at The Bank of New York Mellon where he worked for 9 years serving in roles of increasing responsibility in client service, regulatory compliance administration, and fund accounting.
Mr. Spengler received both a B.S and MBA in Business Management from Eastern University.
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