We show top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. We save our clients time, stress, money and resources by teaching them to think more like the senior-level compliance insiders we were before our founding. Our deep-dive, customized approach is rigorous, but irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. That’s our policy.

Contact us to learn more about the successful relationships we develop with our clients.

You want Amy Lynch on your team when the going gets tough. Amy’s knowledge coupled with her ability to execute ensures excellent results. We’ve had only positive experiences with Amy and her consultants.

— CEO, Broker-Dealer Client/Investment Adviser Client

Management Team

Amy Lynch, Founder and President - FrontLine Compliance

Amy Lynch, CRCP

Founder and President 301-231-5800

Amy has earned her industry expert status through her regulatory experience with the SEC and FINRA, and through senior management private-sector roles as CCO, DOC, and Vice President. Amy founded FrontLine Compliance on this extensive experience. And on the unshakeable belief that forming true partnerships with firms not only helps them avoid unnecessary human- and compliance-related costs, but that it can also make them stronger and more competitive. It’s through this experienced, critically focused lens that Amy oversees all client projects.

Amy’s range of knowledge encompasses her 20+ years in the regulatory compliance field. She began her distinguished career conducting examinations for the SEC. Working in both the New York and Washington, DC offices, Amy examined mutual funds, investment advisers, and insurance firms nationwide.

As a Special Investigator with FINRA, Amy specialized in heightened regulatory issues confronting the securities industry. She expertly managed several industry-wide sweeps conducted by FINRA Enforcement.

In the private sector, she has served as DOC and CCO for Mercantile Capital Advisors and E*Trade Financial. As Vice President at RegEd.com, she developed a leading branch-audit software program.

Amy is recognized as an expert on regulatory issues involving investment adviser and broker-dealer compliance, insurance products, mutual funds, and private funds. She was one of the first graduates of the FINRA Institute/Wharton School Certification Program and holds the Certified Regulatory Compliance Professional (CRCP) designation in addition to her B.S. in Business and Economics.

Amy has spoken at conferences sponsored by every major industry organization. She is a regular presenter at conferences and webinars for leading media and event groups, explaining topics as diverse as investment adviser compliance, product compliance and supervision, fund compliance, valuation, advertising, and CCO effectiveness.

Amy is an active member of several industry groups, including Ellevate, 100 Women in Hedge Funds (100WHF), the National Society of Compliance Professionals (NSCP) and the Institute of Management Consultants USA (IMC USA).

To speak with Amy is to know instantly the confident experience and invaluable understanding she is uniquely qualified to bring to your firm’s immediate and long-term needs.

Chip Arvantides, Executive VP, Director of Business Development - FrontLine Compliance

Chip Arvantides, CRCP

Executive VP, Director of Business Development 301-231-5800

Chip spent seven in-the-trenches years with FINRA’s Enforcement Department, rising to the level of Special Investigator. As a consultant with KPMG’s forensic and litigation group, Chip focused on financial services consulting. Prior to that he accumulated experience in financial markets research, sales, marketing and investor relations. Chip’s 20+ years in the industry have proven invaluable in honing the customized approach that has been so successful for FrontLine Compliance clients.

At FINRA, Chip acquired expert-level knowledge working on the regulator’s highest-profile investigations. He led deep, rigorous investigations into firms of all sizes, which gave him intimate insights into how even subtle, firm-specific nuances can profoundly affect compliance programs. His role leading FrontLine’s program development, strategic partnerships and marketing is enhanced by his additional private sector financial industry experience.

Chip holds the FINRA Institute/Wharton School-sponsored Certified Regulatory Compliance Professional (CRCP) designation, in addition to his B.A. from Hobart College.

It only takes a short conversation with Chip to realize how decades of top-level experience, combined with a comprehensive immersion into your business, can mean the difference between surviving your compliance requirements and mastering them.

Our Consultants

We insist on compliance professionals with both the depth and the breadth of experience needed for our know-your-business-inside-and-out approach. The result: the savviest, most experienced compliance pros in the industry. We have a 10-year experience prerequisite for our consultants; they’re former SEC examiners, FINRA investigators and CCOs fluent in Investment Adviser and Investment Company ’40 Act rules, FINRA/SEC regs and compliance technology. They’re who you want on your team.

Our Clients

Who do we work for? Our client list is custom-tailored to the broad range of expertise we offer. Institutional money managers and large sell-side firms seek us out for our specialized offerings not found elsewhere. Clients include middle- and large-market SEC advisers, private fund advisers including hedge fund, private equity and fund of fund advisers (FOFs), insurance company affiliates, managers of managers and large indie firms with numerous branch offices.

Here are samples of the types of firms we work with, and what we do for them:

Annual Compliance Reviews

2015

FrontLine assisted the majority of its clients with their Annual Compliance Review. Our proven system of thorough testing combined with a comprehensive and cohesive written report was stress tested by regulators multiple times throughout the year. Our clients received positive comments back from regulators each time.

Case Study: A large indie firm client was to have its Annual Compliance Review conducted by its Internal Audit Department, but found out just two weeks before the report was due that the Internal Audit team could not complete the task. FrontLine was hired to pick up the slack and complete the review, including all testing, in less than two weeks.  Even with the short time allotted, FrontLine consultants performed an onsite GAP analysis, conducted the forensic testing, and created a comprehensive written report for the Board of Directors.  All on time and under budget!

SEC Exam Prep

2014

FrontLine Compliance helped many hedge funds and private equity firms of various sizes face their first SEC exam in 2014—either one of the new “Presence Exams” or full-scope reviews. We worked with these firms to ensure that all documents produced were accurate, responsive, and contained no “red flags.” Our mock exam and mock interviews were utilized to successfully prep the firms. In one case, the SEC visit lasted less than three days and resulted in no findings whatsoever. No client had any material findings. Just as we planned!

Forensic Testing Program – A Client’s Commentary

2011-2014

“The forensic testing program is a crucial resource; it can be a real challenge for a CCO to know what constitutes good testing and even, in some cases, how to do it. Being able to rely on real experts in the field gives me a lot of confidence in facing an exam as well as in the strength of our program and conducting our annual review; it also allows much more thorough testing and documentation than I would have been able to complete with the time and resources I have available. I do learn from our results—FrontLine offers guidance on areas where my knowledge is weaker and sometimes has, through feedback, updated me both on what the SEC seeks and on market and industry practice. So FrontLine offers both knowledge and solutions!”

– General Counsel and CCO, Hedge Fund Client

Strategic Consulting

2012-2013

A large indie firm hired FrontLine Compliance to bridge the strategic gap between its business line managers and its compliance. The business side had important goals to expand third-party relationships, launch new products and acquire additional firms. But compliance wasn’t on board because of unanswered questions. With the two sides bogged down, they called us to help them navigate through the impasse. Working closely with both sides, we ironed out differences to bring them together in a way that made each side comfortable in moving forward with a unified plan.

Mock Audit – Regulatory Consulting

2011

FrontLine Compliance was hired to evaluate the compliance program of a multi-billion dollar hedge fund adviser after an affiliate was charged with a SEC enforcement action. We recommended they perform an SEC mock audit of the firm. Within months of completing our review, the SEC actually audited the firm. After three days on-site, the SEC had uncovered no significant findings. The firm was prepared thanks to our work.

Expand Collapse

Careers

If you have senior-level experience and understand our customized approach to partnering with our clients, we’d like to hear from you. If you’ve been frustrated by other firms’ standardized, off-the-shelf approach and want to explain to a business how a proactive compliance strategy is an absolute necessity, we’d like to hear from you. Here are the professionals we’re currently seeking:

SEC Investment Adviser Consultant Expand Collapse

New York, Boston and Washington, DC

We are seeking Consultants with Investment Adviser regulatory compliance experience with an emphasis on institutional accounts and/or private funds, either hedge funds or private equity. Additional experience with NFA/CFTC firms a plus. Experience as a former or current SEC and/or NFA examiner preferred.

Description:
Skilled and energetic individuals needed for high-level, multi-faceted investment adviser compliance projects. The SEC Investment Adviser Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following investment adviser compliance areas:

  • Mock audits
  • Forensic Testing and Internal Control Reviews
  • Review and draft compliance policies and procedures
  • SEC and NFA/CFTC, State registrations and filings
  • Advertising and marketing reviews
  • Personal trading compliance reviews
  • Written reports of compliance recommendations
  • Compliance program implementation and ongoing consulting support

Requirements:
The ideal candidate will have a minimum of 10 years’ experience in investment adviser compliance, with expertise in the Investment Advisers Act of 1940, the Investment Company Act of 1940, and NFA/CFTC regulations for CPOs and CTAs. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.

Broker-Dealer Consultant Expand Collapse

New York, Boston and Washington, DC

We are seeking Consultants with Broker-Dealer regulatory compliance experience with an emphasis on dual registrants, Indies, research firms, or investment banking. Experience as a former or current FINRA or SEC examiner with a history of working with broker-dealers is preferred.

Description:
Skilled and energetic individuals are needed for multi-faceted broker-dealer compliance projects. The Broker-Dealer Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following broker-dealer compliance areas:

  • Review and draft WSPs and other policies and procedures
  • Rule 3012 Annual Review
  • Forensic Testing and Risk Assessments
  • Branch Office Audits
  • Due Diligence Reviews
  • Mock Regulatory Audits
  • FINRA and State registrations and filings
  • Advertising and marketing reviews
  • Trading compliance reviews
  • Compliance evaluations and written reports of recommendations
  • Compliance program implementation
  • Product reviews and analysis

Requirements:
The ideal candidate will have a minimum of 10 years’ experience in broker-dealer compliance, with expertise in FINRA/NASD rules and regulations, the Securities Act of 1933 and the Exchange Act of 1934. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree in Finance, Business, Accounting, or related field required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification desired.

AIFMD/FCA CONSULTANT Expand Collapse

We are currently seeking Consultants with FCA or AIFMD regulatory compliance experience with an emphasis on non-EU fund managers to private funds, either hedge funds or private equity.  Additional experience with SEC, NFA/CFTC firms a plus.

Description:
Skilled and energetic individuals are needed for multi-faceted non-EU, US based private fund adviser compliance projects. The Consultant would become part of a highly skilled, entrepreneurial team of compliance professionals, and would offer their expertise in the following compliance areas:

  • AIFMD registrations and filings
  • Compliance program development
  • Mock audits for compliance with AIFMD regs
  • Forensic Testing and Internal Control Reviews
  • Review and draft compliance policies and procedures
  • Advertising and marketing reviews
  • Personal trading compliance reviews
  • Written reports of compliance recommendations

Requirements:
The ideal candidate will have a minimum of 3 years’ experience in FCA or AIFMD/MiFiD compliance, with expertise in the regulations specific to US based private funds doing business abroad. Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and NFA/CFTC regulations for CPOs and CTAs is highly desirable. The candidate should possess solid writing abilities and exceptional communication skills. Bachelor’s Degree or equivalent required. Certified Regulatory Compliance Professional (CRCP) or equivalent certification a plus.

Marketing Assistant Expand Collapse

Description: Rockville, MD Office

Marketing professional needed to assist in our Rockville, Maryland office. We are looking for an energetic and competent individual who can play a key role in the daily marketing demands of our small but growing firm.  The ideal person for this role will have a strong attention to detail, internet and social media marketing know-how, and be an effective communicator with an easy to get along with personality.  This is a great opportunity for an individual with the related experience.  No two days are the same and if you are pro-active and have great ideas to share about our evolving marketing program, your insight is welcome.

Duties Include:

  • Monitor company website and manage content
  • Maintain and enhance social media profiles on Twitter, LinkedIn and Facebook
  • Develop and modify internet ad campaigns
  • Drive traffic to website and ensure content appears high on search rankings
  • Organize email marketing and integrate social media
  • Create email and marketing lists and coordinate with CRM database
  • Organize webinars, online registration process and target marketing
  • Support trade show/conference research and participation
  • Work with graphic design and print vendors
  • Coordinate distribution of marketing collateral and brochure mailings
  • Limited administrative duties, including phone, travel and filing

Candidate Requirements:

  • Minimum of 2 years professional office experience. Work experience in the financial services field a plus.
  • Strong computer skills, including Microsoft Office applications (.ppt, Excel and Word), Adobe Acrobat, WordPress, email marketing platforms and social media sites.
  • AA Degree (min) —-Marketing, Business, Graphic Design or related discipline a plus. Candidate must be willing to submit to a complete background check due to client confidentiality requirements.

 

 

We offer a competitive compensation rate based on the candidate’s level of experience. Relocation is not necessary. Travel is required (less than 25 percent).

To be considered, please email your resume to careers@frontlinecompliance.com.

FrontLine Compliance is an Equal Opportunity Employer. Qualified applicants will be considered without regard to race, religion, age, ancestry, national origin, sex, sexual orientation, marital status, disability, or medical condition.

Expand Collapse