Alicia Minyen is a senior compliance consultant and outsourced chief compliance officer (CCO) at Adviser Compliance Consulting (ACC). She brings more than 25 years of experience in financial and regulatory oversight, specializing in investment adviser compliance, forensic accounting and fraud detection. Alicia’s extensive background with the U.S. Securities and Exchange Commission (SEC) and her deep knowledge of financial reporting and audit standards uniquely position her to help firms strengthen their compliance programs and meet complex regulatory obligations.
Alicia’s most recent experience includes serving as CCO at Altura Wealth Advisors, where she’s responsible for the development, implementation and maintenance of the firm’s compliance program under Rule 206(4)-7 of the Investment Advisers Act. Prior to Altura, she served as a senior staff accountant in the SEC’s Division of Examinations, where she led and conducted hundreds of examinations of registered investment advisers and investment companies. Her work focused on assessing firms’ compliance with federal securities laws, reviewing portfolio management practices, valuation methodologies, performance advertising and disclosures related to AI and algorithmic trading. She collaborated with multiple SEC divisions, including Enforcement, Investment Management, and Trading and Markets, and contributed to initiatives such as CCO Outreach and Latinos in Finance.
Earlier in her career, Alicia worked as a supervising senior accountant at KPMG LLP, where she led audits for clients in the manufacturing, software and financial sectors, and as a credit analyst at the Federal Reserve Bank of San Francisco. She began her career at the Federal Deposit Insurance Corporation, where she supported the resolution and liquidation of insolvent banks and assisted in loan valuation and portfolio analysis.
