SEC3 Welcomes Seasoned Chief Compliance Officer, Mark Gilbert, as Senior Compliance Consultant
SEC Compliance Consultants, Inc. (“SEC3”) is pleased to announce that Mark Gilbert has joined the firm as a Senior Compliance Consultant after serving in various in-house compliance roles over the past 25 years. Mark has spent most of his career as a Chief Compliance Officer for registered investment advisers, registered funds, municipal securities dealers and Canadian Investment Fund Managers. He also acted as global lead of investment compliance due diligence for a large pension plan provider.
“Mark brings a wealth of experience to SEC3, including leadership skills and technical acumen with respect to the Federal Securities Laws, ERISA, and various governance, risk, and compliance tools. Mark’s addition will help strengthen our already strong array of compliance consulting capabilities within the marketplace,” said Janaya Moscony, Founder and CEO of SEC3.
Mark added, “I have admired SEC Compliance Consultants from afar over the years, and I am excited to contribute to the organization’s ongoing success of focusing on its clients and providing high-quality services across multiple channels.”
Mark previously served as Global Compliance Director of Willis Towers Watson’s (now WTW) Investment Businesses and was the Compliance Lead for its Investment, Risk, and Reinsurance Segment. Prior to WTW, Gilbert was the Head of Americas Compliance for Mercer’s Investments Business.
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officers. Our professionals have served as SEC regulators and in senior leadership, guiding the industry’s principal compliance association. Our consultants also have hands-on industry experience as chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
What can SEC3 do for you?
SEC3 offers an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Call us today at (212) 706-4029 x 229, or shoot us an email at info@SEC3compliance.com so we can set up a time for one of our consultants to discuss your needs and how we can help.
