Jon Higgins
President, Director, Partner | Connecticut
Jon is President and Director/Partner of Ascendant Compliance Management. Formerly Jon was Chief Operating Officer (COO) and acting President at National Regulatory Services (NRS). During his 17 years' experience in the compliance industry, he created the first Investment Advisor database and research tool housing public information from the Form ADV on over 28,000 Investment Advisers. He also engineered the Certified Compliance Program (CCP), a compliance educational training program. He is the recipient of the Public Service Award from the State of Connecticut presented by the Secretary of the State, Susan Bysiewicz. He is an avid supporter of non-profit organizations throughout the Northwest Corner of Connecticut to help children and families in need.
Jacqueline Hallihan
Director, Partner | Connecticut
Jackie is a director of Ascendant Compliance Management and has over 25 years' regulatory and risk management experience. She was the founder of National Regulatory Services (NRS) which started the compliance resource business and served as its President for over 20 years. She also founded the National Society of Compliance Professionals (NSCP), a non-profit organization for compliance officers, staff and lawyers serving the compliance industry. It now boasts over 2000 memberships. Jackie has been a leading speaker to compliance professionals, including in-house training programs and various other industry association conferences, and has received numerous industry awards.
John J. Gentile
Partner | Connecticut
John J. Gentile is responsible for overseeing various types of consulting engagements, including conducting SEC/NASD broker dealer internal control reviews, anti-money laundering testing, written supervisory policy and procedures testing, and other consultation services. John is a frequent speaker at industry conferences on various broker dealer compliance topics, including "Effective Supervision," "NASD Rules 3012 & 3013" and "Anti Money Laundering Requirements for Broker Dealers under the PATRIOT Act." In 1987 John joined the SEC as a Securities Compliance Examiner, becoming a Branch Chief in 1991. He became Assistant Regional Director in 1993, supervising a team of twenty broker dealer managers and examiners. He also planned and conducted financial, operational, and sales practice examinations of the largest broker dealers and was among those responsible for a review of hedge funds' impact on broker dealer internal controls. Before joining the SEC, John was a Financial Damage Analyst with PaineWebber Inc. Most recently from 2000-2007 John was an Executive Consultant, Broker Dealer Services, at National Regulatory Services. John has an MBA from Fordham University and a BS in Finance from Central Connecticut State University. From 1995 to 2002, John was also a member of the Securities Industry Continuing Education East Coast Content Committee.
Keith Marks
Partner | Connecticut
Keith provides consulting, on-site mock examinations and registration services to clients including the investment adviser divisions of regional banks, hedge fund managers, institutional advisers, wrap fee managers, and Internet-based advisers. He regularly speaks to compliance professionals at in-house training programs and at various other industry association conferences. In addition, he regularly contributes compliance-related articles for inclusion in advisory firm newsletters and is frequently requested as a speaker in web seminars. Before joining Ascendant Compliance Management, Keith was an instructor for the Center for Compliance Professionals, and most recently was Director of Investment Advisor Services at National Regulatory Services (NRS) and an Associate with Day, Berry & Howard LLP, a Hartford, Connecticut law firm. Keith served as a law clerk for two years in Connecticut's Supreme Court and Appellate.
He earned his Juris Doctor degree Magna Cum Laude from Western New England College School of Law. He is a member of the State Bar of Connecticut, and is actively involved in raising funds for the Polycystic Kidney Foundation (www.pkdcure.org).
Chris Hardy
Director, Partner | Connecticut
Chris joined Ascendant Compliance Management with over 12 years' compliance experience. His responsibilities include on-site compliance reviews of advisory clients and consulting on regulatory and compliance-related topics. Chris's focus has been hedge fund consulting and also performs due diligence reviews and mock examinations for institutional firms. Chris has prepared hundreds of clients for registration with the SEC and has led clients through the SEC and state adviser registration process with extensive knowledge of disclosure issues and requirements. Chris also consults on all aspects of investment adviser compliance, including the development of written supervisory procedures, guidance on the understanding of new SEC regulations, soft dollars, advertising review, SEC safe harbors and defining the regulatory issues associated with new advisory services. Chris frequently speaks at industry seminars, and other industry conferences. Before joining Ascendant Compliance Management, Chris served as Executive Consultant at National Regulatory Services (NRS) and chief compliance officer for an Investment Adviser. Chris received a B.A. from Aston University School of Business (England) and a M.A. in Public Policy/Economics, Trinity College.
Salvatore Papa
Vice President | New York
Sal consults on a wide variety of compliance and regulatory matters affecting investment advisers including the Investment Advisers Act and Securities Exchange Acts. Sal leads investment adviser clients in the preparation and filing of their registration documents and conducts on-site compliance reviews and mock SEC exams. He regularly speaks to compliance professionals at client in-house training programs and at industry conferences on a variety of compliance topics. Sal earned his Juris Doctor degree Cum Laude from New England School of Law and is a member of the State Bar of Connecticut. He obtained his Bachelor of Arts degree Cum Laude in Political Science with a minor in Finance from Providence College. Before joining Ascendant Compliance Management, Sal was a Consultant at National Regulatory Services.
Brian Kawakami
Managing Director | New York, Connecticut
Since 1980 Brian has held compliance and legal positions, including serving as Chief Compliance Officer of Lazard Asset Management, INVESCO Institutional and Aeltus Investment Management (now ING Investments), and as General Counsel to a mutual fund company. A seasoned professional with experience in implementing effective compliance programs and solutions, Brian assists clients in implementing compliance solutions that are effective, cost efficient and aligned with regulatory expectations and business needs and realities. He consults on compliance risk evaluations and the implementation of risk management methodologies, prepares clients for regulatory examinations and due diligence meetings, assists clients in establishing compliance programs to comply with Rules 38a-1, 206(4)-7, 3012 and 3130, provides guidance in drafting compliance policies and manuals, designs continuing education training programs, and assists clients in their investigation and resolution of alleged violations. Brian is a frequent speaker on compliance matters at industry conferences, including the SEC's CCOutreach National Seminar. Brian is a FINRA artibrator and member of the New York and Connecticut Bars. He earned his BA in Economics from Whitman College, MIM from the American Graduate School of International Management (Thunderbird) and JD from New York Law School.
Lisa Caruso
Legal/Brokerage Compliance Specialist | New York
Lisa Caruso has spent the past 15+ years in the consulting industry, working with hundreds of brokerage firms and their legal counsel, assisting them through the labor intensive and rather lengthy broker-dealer application process with FINRA. In addition to her expertise with the electronic filing requirements of FINRA’s new Form NMA, Ms. Caruso is involved in all aspects of the application process. She was one of the original participants in the new electronic Form NMA filing pilot program and worked closely with FINRA on updating and enhancing the electronic Form NMA. Ms. Caruso is an expert with respect to complex CRD filings, entitlements, deficiencies, WebIR filings and post registration and annual filings (such as Contacts, CMA filings, Limited Size and Resource, and 17a-4 filings) as well as simultaneous 50-state filings. Ms. Caruso has assisted legal firms and brokerage clients with all aspects of the new membership process, including developing firms’ business plans, tailoring written supervisory policies and procedures and developing the continuing education needs analysis and training plans, preparation of complex Form BDs and Form U-4s, handling ancillary registrations (DTCC, SIC, MSRB, OATS, etc.), obtaining fidelity bond coverage, and managing all aspects of web-based filings.
Sally Cole
Director, Conference & Educational Services | Connecticut
Sally joined Ascendant Compliance Management with over 12 years' compliance experience, six of them with conferences and educational services. Sally provides the leadership and development of compliance educational programs both live and on-line to further the understanding of sophisticated compliance rules and regulations by offering an interactive, plain-English approach to compliance rules and regulations, both in the U.S. and the U.K. She was most recently National Conferences Manager for National Regulatory Services (NRS).
For a full list of our US consultants, please contact 860-435-2255
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