Leslie A. Green

Leslie has more than a decade of experience in overseeing compliance with state and federal securities regulations for Investment Advisers and Broker-Dealers. At Calfee, her clients include private fund advisers, wealth managers, family offices, mutual fund trusts, institutional asset managers, and full-service, limited-purpose, retail, and institutional Broker-Dealers.

Leslie has extensive practice in the development and maintenance of Investment Adviser and Broker-Dealer Compliance Programs, including compliance policies and procedures and written supervisory procedures, risk management and mitigation, ongoing and annual testing and audit programs as required by Rule 206(4)-7, 38a-1, and FINRA Rule 3130, sub-adviser and service provider due diligence, broker-dealer branch office supervisory programs, advertising and correspondence review and approval, and the development and execution of compliance training. Additional focus areas include best interest standard of care, cybersecurity, and privacy regulation.

Prior to joining Calfee, Leslie served as Chief Compliance Officer for Eagle Realty Capital Partners, LLC and Eagle Realty Group, and Senior Compliance Manager at Touchstone Investments.

Leslie earned her M.B.A. from Xavier University, with a concentration in Values Based Leadership, and is a Cintas Graduate Ethics Fellow. She earned her B.A. in Economics and Management from Wittenberg University.

Leslie joined Calfee in 2021.

Education

M.B.A., Xavier University, 2016

B.A., Economics & Management, Wittenberg University, 2010

Certifications

FINRA Series 7, 24, 66

Leslie Green – an employee of Calfee Strategic Solutions, LLC – is not licensed to practice law.

Experience

• Calfee provides legal counsel on securities regulations affecting a large investment advisory firm with $8+ billion in client assets providing customized financial planning and wealth management services to a broad array of high net worth and other clients, and serves as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee provides broad support and counsel to our multinational professional services firm client with $100+ billion in AUM in relationship to the firm’s global investment advisory services. As a new matter, Calfee was retained to support the client's ongoing marketing and advertising efforts in relationship to the new SEC Marketing Rule finalized in November 2022. The client engaged Calfee to further support its private fund complex, including a new private credit fund. As part of its services, Calfee works with the lead portfolio managers to identify and review potential fund investments, assist with due diligence, and review the terms of potential investment in the funds.
• Calfee was selected to provide legal counsel on securities regulations affecting all aspects of our SEC-registered investment advisor client’s investment advisory business and operations, which has $4+ billion in AUM. Calfee provides back-office support and expert counsel for the Managing Principal and CCO and assists with directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee was selected to provide legal counsel on securities regulations affecting an SEC-registered investment adviser with $2+ billion in AUM providing advisory services to high-net-worth individuals and institutional investors, and Calfee serves as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee provides legal counsel on securities regulations affecting an SEC-registered investment adviser with $2+ billion in AUM providing asset management as a 3(21) and 3(38) investment fiduciary for 401k and corporate pension plans subject to ERISA and wealth management services for high-net-worth individuals. Calfee provides back-office support and expert counsel for the CCO and assists him in directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”).
• Calfee was selected to provide legal counsel on securities regulations affecting all aspects of our client, an SEC dually registered investment adviser, and broker-dealer operations with $2+ billion in AUM. Calfee provides support and expert counsel for the CCO and assists in directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”) and FINRA compliance program requirements under FINRA Rule 3120 and the Annual Certification under Rule 3130.
• Calfee was selected to provide legal counsel on securities regulations affecting an SEC-registered investment adviser with approximately $1.5 billion in AUM providing advisory services to high-net-worth individuals and small institutions and to serve as the firm’s Chief Compliance Officer (CCO). The CCO is responsible for directing and implementing the firm’s compliance program for all supervised persons of the adviser, ensuring effective compliance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Compliance Rule”). Calfee successfully assisted the client through an examination by the SEC’s Division of Examinations with the firm’s final response being submitted in 2021.
• Calfee provides legal counsel on securities regulations affecting an SEC-registered investment adviser with $570+ million in AUM providing advisory services to high-net-worth individuals and small institutions, and serves as the firm’s Chief Compliance Officer (CCO). Calfee also successfully counseled the client through an inquiry from the Department of Justice.

Presentations

• “Post-Implementation Best Practices for Reg BI,” Speaker, National Society of Compliance Professionals National Conference, National Harbor, MD (November 8, 2021)