Speakers

Allison Fraser

Director – Compliance Services

  • Company:Compliance Solutions Strategies
  • Short Bio:With over 25 years of investment advisory compliance experience, Allison provides compliance services to investment advisers, registered investment companies and private investment funds. The services she provides includes conducting annual compliance program reviews and testing, developing risk assessments, conducting due diligence reviews of sub-advisers and service providers, and preparing for SEC examinations. She also assists clients with drafting policies and procedures, conducting annual and focused compliance and ethics training, and preparing regulatory filings. On behalf of Compliance Strategies Solutions (CSS; formerly Ascendant Compliance Management), Allison has served as the Chief Compliance Officer for a family of alternative funds registered under the Investment Company Act of 1940. Prior to joining CSS, Allison served as a Senior Vice President of Compliance at the asset management subsidiary one of the largest and oldest banking institutions in the United States. In this capacity, she managed and administered the compliance due diligence program for investment adviser’s multi-manager solutions and outsourced Chief Investment Officer programs, which included over 300 sub-advisers consisting of investment advisers, private funds and registered investment companies. Allison conducted hundreds of compliance and operational due diligence reviews during her tenure. Additionally, Allison served as the Chief Compliance Officer of two registered funds of hedge funds advised by the asset management subsidiary as well as a member of the funds’ Pricing and Disclosure Committees. Earlier in her career, Allison served as the Compliance Director for the asset management subsidiary of a multinational auto manufacturer, where she assisted with the administration of the compliance program for this registered investment adviser and its affiliated private fund adviser. Allison earned a B.S. from the University of Vermont and a Legal Assistant Certificate from The George Washington University. Allison has also obtained the designation as a Certified Fraud Examiner (CFE). The CFE credential denotes proven expertise in fraud prevention, detection and deterrence.
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