Venessa Chavez has over eight years of industry experience in investment adviser compliance and was previously the Chief Compliance Officer for an SEC registered, investment advisor of private funds and institutional clients.
She has also provided compliance consulting services for new and existing investment advisors which include:
- New adviser SEC registration;
- Form ADV preparation & review;
- Development of compliance policies and procedures, Code of Ethics, and Business Continuity Plans;
- Compliance risk assessments;
- Annual compliance audits;
Venessa holds a bachelor’s degree in Business Management, and also holds the Investment Adviser Certified Compliance Professional (IACCP) designation and Hedge Fund Compliance and Operations Specialist granted by National Regulatory Services (NRS).
Venessa’s previous experience in Accounting (20+ years) and Human Resources Management provides her with a wide perspective and ability to implement a quantitative and qualitative analytical approach to compliance.