Julie Walsh is ACC’s director of SEC and NFA Compliance and an outsourced CCO. She has more than 25 years of experience in the investment company/investment adviser and NFA/CFTC compliance areas.
Julie specializes in investment company and investment adviser regulatory compliance programs, as well as programs for commodity pool operators and commodity trading advisers. Her areas of expertise include regulatory exams, annual reviews, mock SEC exams, creating a strong culture of compliance, policies and procedures development, advertising and marketing reviews, and mentoring and training compliance professionals.
Her expertise benefits our clients as she develops compliance programs in an efficient and cost-effective manner. She often conducts gap analyses at the outset of relationships with new clients to capitalize on their existing regulatory/compliance programs (as relevant) and leverage any existing programs and infrastructure. She also engages these efforts in a cross-disciplinary manner — for various regulatory regimes when relevant. Julie is acutely aware that our clients’ core competence is investment management, and she works to judiciously administer programs that are robust and comprehensive and unintrusive.
Prior to her work with ACC, Julie served as a managing director for more than nine years. During that tenure, she was designated as the outsourced fund CCO for four distinct investment company operations, including a closed-end private equity interval fund, and served as outsourced AMLCO for two open-end investment companies. In carrying out her fund officer delegations, Julie reported directly to each fund’s board of directors. During this time, she also founded the firm’s NFA/CFTC compliance program consultation offerings, and led efforts to train and supervise internal resources in this area.
Earlier in her career, Julie spent 15 years at a Boston-based institutional asset management firm where she served as global adviser CCO, headed the compliance team, and oversaw dozens of open-end investment companies, several hedge funds and private funds, and hundreds of separately managed, dedicated and asset allocation accounts in the institutional space, with assets under management totaling greater than $150 billion.
Julie has a Bachelor of Arts in English and a Master of Education in Secondary Education from Boston College. She is also a member of NSCP, NEBDIAA, SIFMA, ACAMS and the Financial Women’s Association.
