Lloyd Moskowitz — Chief Compliance Officer · Cannell & Spears

Lloyd Moskowitz — Chief Compliance Officer · Cannell & Spears · Farmingdale, New York, United States.

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About

Experienced C-level executive with extensive operational, accounting, and compliance expertise in the asset management industry. Skilled in Regulatory Compliance, 40 ACT, 34 ACT, GDPR, AIMFD, SEC Exams, Securities, Asset Management, Private Funds, Private Equity, Family Office, Alternatives, Compliance Training, Portfolio Management, Vendor Management, IT/ Cybersecurity, BCP, and DSR. Team player with excellent verbal and written communication skills.

Experience

Chief Compliance OfficerCurrent
Cannell & Spears · United States
Jul 2024 – Present
I'm thrilled to share that I have joined Cannell & Spears as the Chief Compliance Officer. I am eager to contribute to the firm's success and work alongside such a talented team. Excited for the challenges and opportunities ahead!
Chief Compliance Officer/Chief Operating Officer
Overbrook Management Corporation · Greater New York City Area
Oct 2013 – Jul 2024
A proactive executive with extensive hands-on operational and compliance experience with a deep appreciation of the regulatory environment and a solid familiarity with the requirements of a Registered Investment Advisor, SMAs and Private Funds. History of building and managing comprehensive compliance operations that enable companies to successfully navigate in highly regulated, competitive marketplaces. Team player with proven ability to develop and maintain the necessary policies and procedures to help any firm navigate the financial industry. High degree of personal responsibility, integrity, and clear thinking. 20+ years of experience managing all aspects of day-to-day operations, technology, portfolio administration, accounting, and compliance functions. Compliance Function: Worked closely with outside compliance consultant to build out and maintain the Firm’s compliance program, instrumental in rewriting the Firm’s policies and procedures, including establishing employee training and a culture of compliance at the Firm. • Updating and maintenance of Compliance Manual policies and procedures. • Regulatory Filings: 13F, 13H, 13G, 13D, etc. • ADV filing updates, Privacy Notice delivery. • Marketing material review, disclosures updated as needed. • Best Execution review. Trade allocation review. • Code of Ethics reviews, personal trading pre‐clearance. • Employee compliance training developed and delivered. • Employee Handbook update. • Risk Matrix creation and maintenance. • Compliance Calendar creation and maintenance. • AML program. • Expert Network review and on‐going due diligence. • Cyber Security. DSR and BCP created and tested. • 3rd Party Vendor review and on‐going due‐diligence. • Private Fund‐Investor requests, due‐diligences requests, coordination with Fund Administrator, FATCA reports, Board Meetings and AEOI responsibilities. • Alternative Investments due diligence review.