Gregory A. Brown

Principal

Greg has over 9 years of industry experience, focused primarily on consulting in regulatory matters including the evaluation and implementation of compliance policies and procedures and providing business advisory services to assess the operational and regulatory risks for various investment industry organizations. His background includes work with registered investment advisors, mutual funds, hedge funds, and service providers. His expertise includes evaluating business activities, developing risk assessments for policies, procedures and related internal controls, writing compliance policies and procedures, identifying best practices and conflicts of interest, and developing risk-based compliance monitoring programs.

Greg’s experience also includes assisting clients with SEC enforcement actions, and a variety of litigation and forensic accounting matters including standard of care in fund administration, recreating fund financial statements, and assisting with violations to the securities laws.

Prior to his career in consulting, Greg worked at the U.S. Securities and Exchange Commission for two years where he participated on compliance examinations of financial services companies and investigations of various entities and individuals related to violations of the securities laws. His experience includes examinations of investment advisors and investment companies operations, books and records, and procedures for safeguarding securities and business methodology. Mr. Brown was responsible for conducting interviews with personnel and preparing necessary schedules, materials, and evaluations to formulate conclusions regarding compliance with regulatory requirements. His investigations included work on various financial fraud matters involving complex accounting issues, earnings management schemes, improper hedge accounting, Ponzi schemes, market timing, market manipulation and various other matters.

Greg graduated from Boston University and earned an MA in economics and a BA in economics and applied mathematics. He is currently a CFA Level II candidate as well as a member of CFA Institute and the Boston Security Analysts Society.

Contact Information:
Tel: 617.800.0388 x103
Email: gbrown@advisorassist.com