NEW
YORK, July 9, 2024 /PRNewswire/ -- Iron Road
Partners, a leading regulatory consulting firm serving the
investment management industry, today announced that it has
launched a new service line focused on registered investment
companies, including business development companies (BDCs),
closed-end funds (CEFs) and open-end funds. Jamie Peterson, formerly Wellington Management's
Americas chief compliance officer, was appointed to lead the
effort, effective July 1.
Peterson, who joined as a director at Iron Road, is based in
Boston. Under Peterson's
leadership, Iron Road will leverage its highly regarded compliance
and advisory functions to registered investment companies,
including through the outsourcing of 38a-1 compliance program
reviews, compliance program development and enhancement, mock
examinations, compliance training and education, and ad hoc
regulatory advice on complex matters.
Peterson is a veteran investment industry executive with over 30
years of experience. As Wellington's Americas CCO, he was responsible
for all compliance matters in the United
States and Canada. He
served as CCO for Wellington Management Company LLP, Wellington
Alternative Investments LLC, Wellington Funds US LLC, Wellington
Management Canada ULC, and Wellington's affiliated broker-dealer
Wellington Funds Distributors Inc. While at Wellington, Peterson provided regulatory
compliance advice, led SEC, CTFC, NFA, FINRA, and OSC compliance
programs, designed and implemented surveillance, testing and annual
reviews, and successfully led numerous regulatory examinations
across a wide range of business practices. Earlier, Peterson was
chief compliance officer at Highfields Capital Management.
"Jamie's deep expertise in both traditional and alternative
investments, broker-dealer issues and NFA regulations will be
invaluable for our large and diversified clients who offer multiple
registered and unregistered funds," said Igor Rozenblit, Iron Road's founder and managing
partner.
New York-based Iron Road offers
regulatory compliance and advisory services and partners with
in-house compliance departments to address the growing strategic
and operational challenges faced by asset managers in an
increasingly complex regulatory landscape. The firm serves more
than 100 alternative and traditional managers with a combined total
of approximately $5 trillion in
regulatory assets under management.
"With the accelerating trend of alternative investments
converging with registered products, I believe Iron Road's
expertise in alternative investment compliance and my background in
both traditional and alternative investments offer clients
unmatched expertise to navigate this new investment frontier,"
Peterson said.
About Iron Road Partners
Iron Road Partners works with investment managers to protect and
increase franchise value by mitigating risk, increasing
transparency, and implementing simple and effective compliance
programs. Iron Road leverages its industry experience, unique
regulatory perspective, and rigorous consulting approach, allowing
investment managers to focus on their core business. Established in
2021, the Iron Road Partners team consists of former senior
regulators, chief compliance officers, LPs and investors, providing
essential services to more than 100 leading investment managers.
For more information visit www.ironroadpartners.com.
Contact:
Margaret Kirch Cohen/Richard Chimberg
Newton Park PR
+1 847-507-2229
+1 617-312-4281
margaret@newtonparkpr.com
rich@newtonparkpr.com
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SOURCE Iron Road Partners