Cipperman has made three new recruits. Cipperman’s total staff will be 17 including these three new people. Based in Wayne, Pa, Cipperman Compliance Services works with private equity firms and other funds as an independent entity offering third-party perspective on regulatory compliance. The firm is headed by Todd Cipperman, former general counsel of SEI Investments.
Cipperman has made three new recruits.
Alyssa Garie – Manager
Alyssa Garie has an extensive background with institutional money managers. She joined CCS from Mondrian Investment Partners, a $70 Billion AUM asset manager with global distribution. During her career, Alyssa has managed client relationships, interfaced with consultants, completed 15(c) questionnaires, RFPs, and other due diligence requests, and supported lead generation and sales. She also worked with the legal and compliance teams with respect to client issues.
She holds a B.A. in Business Administration and Public Policy from West Chester University of Pennsylvania.
LuAnne Garvey – Director
LuAnne Garvey is a senior compliance professional with significant experience in investment product distribution. She has spent the better part of her career managing compliance for broker-dealers that distribute registered products. LuAnne has supervised registered representatives, conducted branch inspections, reviewed marketing and advertising, conducted training, and interfaced with regulators. She has also managed a successful sales team focused on ETF distribution.
Before coming to CCS, LuAnne spent over 10 years at PFPC (now BNY Mellon).
Emily Silva – Director
Emily K. Silva is a lawyer and experienced compliance professional with responsibility for several client relationships. Before joining CCS, Emily spent nearly 15 years at The Vanguard Group where she worked in a variety of compliance management positions. She has an especially deep background with mutual fund and adviser marketing. Emily has also worked as a legal journalist. Ms. Silva graduated from the University of Rochester with a BA in history, earned her master’s degree in Media Administration from Syracuse University and her Juris Doctor (cum laude) from the Syracuse University College of Law. She is a member of the Connecticut Bar and holds FINRA Series 4, 7, 24, and 63 licenses. She is author of Compliance Considerations for Mutual Fund Advertising: Collaboration is Key, which was published in Practical Compliance & Risk Management for the Securities Industry.
Cipperman’s total staff will be 17 including these three new people
Based in Wayne, Pa, Cipperman Compliance Services works with private equity firms and other funds as an independent entity offering third-party perspective on regulatory compliance. The firm is headed by Todd Cipperman, former general counsel of SEI Investments.