The Regulators Aren't the Only Eyes on Your Compliance Program: Successfully Responding to Increased Investor Scrutiny

Andrew Dominus has been General Counsel and Chief Compliance Officer of Seer Capital Management since July 2013. He has a broad range of transactional and regulatory experience, having spent 12 years, including his last three there as General Counsel, at KBC Financial Products (a broker/dealer with at its peak over 1000 employees and offices in New York, London, Hong Kong and Tokyo) before joining Seer Capital. He started his career at Stroock & Stroock & Lavan, where his practice focused on securitizations and derivative products. He then worked at UBS supporting their equity derivatives and fixed income securities groups until he left to join DE Shaw & Co., where he supported its equity derivatives group. That group was part of the unit sold by DE Shaw & Co. to KBC Bank in 1999, which then became the KBC Financial Products Group.

Mr. Dominus graduated from Dartmouth College in 1986 with a B.A. in Comparative Literature, and received his J.D. from Columbia Law School in 1991.

Ms. Torrado-Malley is the General Counsel, Chief Compliance Officer and Director of Human Relations of Knighthead Capital Management, LLC (“Knighthead”), an SEC registered investment management firm specializing in long-short event driven, distressed credit and other special situations across a broad array of industries. Ms. Torrado-Malley supervises all legal, compliance and HR issues at the firm.

Prior to joining Knighthead at its launch in 2008, Ms. Torrado-Malley was a Senior Managing Director at Bear, Stearns & Co. Inc. in the High Yield/Special Situations Department where she performed the dual role of legal advisor for the distressed debt trading desk and global head of loan settlement. She was also a founding member of the Bear Stearns Women’s Network.

Before joining Bear Stearns in 1997, Ms. Torrado-Malley was an associate in the Bankruptcy Reorganization/Claims Trading Department at Robinson Silverman Peace Aronson & Berman, LLP, NKA Bryan Cave.

Ms. Torrado-Malley graduated from Albright College with a B.A. in Political Science/French and received her J.D. from New York Law School.

Maura Harris is an experienced ODD expert with over 25 years of operational experience. Today, Ms. Harris is the Head of Due Diligence at Bostwick Capital, a multi-manager in New York.

Previously, Ms. Harris was EVP, Business Development & Operations at AITEC, an online peer to peer community of CTOs in financial services.

From 2006 to 2015, Ms. Harris was a SVP & Director of Operational Due Diligence at Permal. At Permal, Ms. Harris designed, developed and managed ODD covering over 125 global, multi-strategy alternative asset managers. Ms. Harris began her career in accounting, administration and reporting working at Bank of America, GAM, Prudential and Scor.

Michael R. Schwenk serves as the General Counsel and Chief Compliance Officer of NWI Management LP. Mr. Schwenk is responsible for all legal and regulatory issues affecting the firm and its advised funds, including compliance with securities and commodity future regulations. He joined NWI Management in May 2015.

Before joining NWI, Mr. Schwenk was the General Counsel and Chief Compliance Officer of Mizuho Alternative Investment, LLC from 2014 to 2015, and the General Counsel and Chief Compliance Officer of Platinum Grove Asset Management, L.P. from 2001 to 2014.

Mr. Schwenk received his juris doctor degree from the Benjamin N. Cardozo School of Law, New York, New York (1995) and his bachelor’s degree from The City College of New York (1992). He is a member of the New York bar.