Assistant Compliance Director, Chief Compliance Officer
Umar currently works in our compliance group and serves as a Chief Compliance Officer for our clients. His duties entail the oversight of clients’ compliance programs, including performing compliance monitoring and testing, management of regulatory exams, review of marketing materials, drafting and implementing policies and procedures, drafting risk assessments, preparing and submitting regulatory filings (Form ADV, Form PF, Form 13F) and completing annual reviews pursuant to Rule 38a-1/Rule 206(4)-7. Umar is proficient in creating and implementing a customized compliance program for investment advisers, investment companies, private funds and BDC’s.
Umar has an extensive background in the financial services industry with over 13 years of experience in compliance, internal audit and operations. Prior to joining CCS, he worked at E*TRADE Financial Corporation and Bank of America Merrill Lynch. He has significant compliance testing experience including performing examinations of domestic and international off-shore office locations.
Umar earned a B.A. in Economics from the University of Rochester.
During his time away from CCS, Umar enjoys spending time with his wife and four children.