Our SEC compliance service consultants have 25 years of cumulative RIA compliance experience, managing issues, on both the adviser’s side and the consultant’s side. Jointly, our team has experience in:
- SEC compliance
- GIPS compliance and verification
- SAS 70 (now known as SOC 1) policy and procedure audits
It is through this hands-on experience that our consultants have developed the skills of truly listening to client’s pain points, addressing their issues and concerns proactively, and applying the SEC rules and regulations to each firm. We understand that there is not a “one size fits all” solution and take into consideration the unique circumstances of each of our clients to apply the rules as practically as possible.
- CIPM – Certificate in Performance Measurement
- CPA – Certified Public Accountant
- CSCP – Certified Securities Compliance Professional
- IACCP® – Investment Adviser Certified Compliance Professional
Find Out More About Our SEC Compliance Consultants
Zachary FennoCompliance Associate; J.D.
After moving back to the Midwest after being in Providence for 4 years, I started law school in St. Paul, Minnesota. Throughout my time there, I explored many different areas of law but found I was most interested in compliance after joining a pilot compliance program at my law school. During this year, I completed an internship with a local energy company where I focused on reducing unnecessary compliance costs. This program showed me how compliance is a great area to combine my legal analysis and passion for helping businesses succeed.
After law school, I worked for a software company that provided services to the energy industry. I wore many hats during my time there, from customer relations to managing a team of attorneys, and working across multiple departments to ensure compliance with all current and upcoming federal regulations. Working with compliance and IT gave me the skills needed to apply strict regulations to unique situations.
Another passion I found in law school was working with small businesses and non-profits to achieve their dreams. I decided to take all I had learned from helping others and started a business with my partner, making gourmet cheesecakes. After a year of operations, my partner was offered a position he couldn’t pass up, and we decided to put this dream on hold for now.
Fortunately, I found SEC Compliance Solutions (SCS) and have been with the firm since March 2018. I am excited to bring my legal background and compliance experience to SCS in order to help our clients.
Zach has 5 years of compliance and legal experience in various fields from federal energy regulations like FERC and NERC to personal information data breaches. At SCS, he is responsible for conducting forensic testing, such as email and marketing material reviews, consulting on issues surrounding data regulation like the GDPR, and supporting the rest of the SEC Compliance Solutions team.
B.S. in Classics and B.S. in Religious Studies from Brown University, Providence, RI
J.D. from William Mitchell College of Law, with a focus on Compliance and Small Business
In his free time, Zach enjoys going to dog parks, seeing local shows, and playing his cello.