William McNish is a Director of Compliance with over 20 years of regulatory experience in the financial services industry. As an Alaric Director, Mr. McNish has served as the Chief Compliance Officer for an adviser to a business development company, as well as several registered investment companies and registered investment advisers. He has served as the Compliance Director of a mutual fund complex and has successfully managed SEC examinations addressing issues under the Investment Advisers Act and the Investment Company Act. He has experience addressing the regulatory compliance needs of investment advisers and broker-dealers, and has participated in a number of SEC and FINRA Mock Examinations and compliance assessment projects.
Prior to joining Alaric, he spent 12 years at the Financial Industry Regulatory Authority (FINRA, formerly NASD). As an Examiner in FINRA's Boston District office, he was responsible for conducting financial and operational audits of registered broker-dealers. As a Principal Investigator in the Department of Enforcement in Washington, DC, he managed and conducted investigations of broker-dealers and associated individuals to determine compliance with FINRA rules and federal securities laws. These included investigations of fraud, market manipulation, suitability, and sales practice violations. Most recently, he was a Futures Trading Investigator with the Division of Enforcement at the U.S. Commodity Futures Trading Commission, where his group focused on fraud in the foreign currency markets.
Mr. McNish has extensive experience in assessing the operations and financial condition of firms, the adequacy of their books and records, and their procedures for safeguarding customer funds and securities. He has planned and carried out numerous investigations by way of field examinations, branch audits, trade data analysis, electronic communications review, and witness interviews.
Mr. McNish earned an MBA in Finance from the Johns Hopkins University Carey Business School, a B.A. from the University of Connecticut, and the Certified Regulatory Compliance Professional (CRCP) designation from the University of Pennsylvania, FINRA Institute at Wharton.
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