Brian Parris, Compliance Consultant

Brian is a financial services professional with over 20 years of experience with asset managers. The past ten years have been in risk and compliance functions supporting portfolio management and trading functions, including investment compliance experience, internal software development, and third-party software implementation at registered investment advisors and broker-dealers working with equity, fixed income, and multi-asset strategies in mutual funds, ERISA, and separately managed accounts. Brian’s broad compliance experience has spanned various aspects of the investment process with the dual goals of strengthening control framework and operational efficiency.