Greg Reymann leads the firm’s Compliance and Regulatory Consulting Group for registered investment advisers and broker-dealers. Greg brings thirty years of experience in the financial services industry, serving in executive risk management and compliance roles for some of the most well-regarded financial services companies in the country. Greg has held Chief Compliance Officer, Chief Risk Officer, and Assistant General Counsel roles for large enterprises, advising his firms on a wide range of compliance and regulatory issues. Greg has developed and implemented compliance programs for investment advisers, broker-dealers, hedge and mutual funds, has overseen regulatory filings, managed legal issues, and handled regulatory inquiries and investigations from the SEC, FINRA, and state regulatory authorities. Greg also has extensive experience guiding clients through regulatory findings, including Form ADV, Form BD, Form N-1A, and other related filings.
In addition to his juris doctor, Greg has earned two masters of laws (taxation and estate planning) and has previously held Series 6, 7, 24 and 26 registrations. Greg’s legal and industry experience combine to give him a comprehensive perspective on the legal and compliance challenges faced daily by regulated entities and their associated person and a unique combination of experience to address them.
Greg’s practice areas are as follows:
- Compliance consulting services, including developing, revising and monitoring compliance programs;
- Performing annual compliance and mock reviews for registered investment advisers, broker-dealers, and hedge and mutual funds;
- Providing legal services in the areas of securities, corporate and tax law matters that impact his clients;
- Implementing the legal and corporate steps for his clients that are starting an investment advisory business;
- Preparing and submitting a wide range of regulatory filings; and
- Supporting his clients during SEC, FINRA, or state regulatory examinations.