Calfee, Halter & Griswold LLP is pleased to announce that Leslie A. Green has joined the firm as Chief Compliance Officer in the Cincinnati office, working primarily with Calfee's Investment Management and Compliance / Regulatory Services practice groups to support investment adviser and broker-dealer clients in the development, administration, and governance of all compliance and risk management practices.
Leslie has extensive experience managing and directing investment adviser and broker-dealer compliance programs, including the creation and implementation of compliance policies and procedures governing all activities of the firm, as well as assisting with matters before the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), North American Securities
Administrators Association (NASAA) as well as state securities commissions,
“Leslie Green is an incredibly talented Chief Compliance Officer who adds over a decade of financial services and securities compliance experience to benefit our financial industry clients,” said Patrick D. Hayes, Senior Counsel and Leader of Calfee’s Investment Management Group. “From institutional asset managers and wealth managers to private funds and mutual funds, Leslie has the real-world, technical expertise to run clients’ compliance programs and enhance their services at every level.”
Leslie joins an experienced and accomplished Investment Management and Regulatory Compliance team at Calfee that provides exceptional service and problem-solving expertise on all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactions, regulatory compliance and enforcement matters for
registered and nonregistered persons.
In addition, this team has led significant growth over the past 21 months. Since September 2019, Calfee has provided expert investment management counsel and regulatory compliance services to more than 30 registrants, affiliates and exempt reporting institutions totaling $150+ billion in assets under management. Calfee’s newly acquired clients include wealth managers, private equity advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptoasset traders, roboadvisers, and institutional asset managers.
The
Investment Management practice group at Calfee also has gained national and global recognition in the past year due to the October 2020 launch of a niche podcast. Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals (NSCP), a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick, who also serves on the board of directors for the NSCP, designed the podcast as a personal master class for the securities industry’s legal and compliance professionals. The podcast was recently named one of the "Top 20 Securities Podcasts of 2021" by Welp Magazine and has received stellar reviews from listeners on Apple Podcasts.
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