Michael Sullivan Email & Phone Number
Managing Director - Head of Compliance and Governance @ Slate Asset Management
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Michael Sullivan Location
- Chicago, IL, US
Michael Sullivan Work
- Managing Director - Head of Compliance and Governance @ (June 2023 - Present)
- Executive Director, Registered Funds Chief Compliance Officer @ (June 2015 - June 2023)
- Compliance Consultant @ Compliance Consulting (January 2014 - May 2015)
- Director - Compliance @ Charles Schwab (January 2011 - January 2014)
- Compliance Analyst @ AXA Rosenberg (January 2009 - January 2011)
- Senior Compliance Analyst, Associate Vice President @ (March 2007 - December 2008)
- Senior Compliance Manager, Vice President @ (January 2006 - March 2007)
- Senior Legal Product Manager @ (November 2003 - January 2006)
- Legal Intern @ (February 2003 - November 2003)
- Legal Intern @ (September 2002 - December 2002)
- Legal Intern - Corporate Legal Department @ Plymouth Rock Assurance Corporation (February 2002 - May 2002)
- Law Clerk @ (September 2001 - December 2001)
Michael Sullivan Education
- Northeastern University School of Law
Juris Doctor
2000-2003 - Vassar College
B.A.
1990-1994
Michael Sullivan Skills
- AML
- Alternative Investments
- Asset Managment
- Due Diligence
- Equities
- FINRA
- Hedge Funds
- Investment Advisers Act
- Investment Company Act
- Mutual Funds
- Securities
- Securities Regulation
- Microsoft Word
- Consulting
- Public Speaking
- Compliance
- Corporate Law
- Strategic Planning
Michael Sullivan Summary
- Michael Sullivan, based in Chicago, IL, US, is currently a Managing Director - Head of Compliance and Governance at Slate Asset Management. Michael Sullivan brings experience from previous roles at GCM Grosvenor, Compliance Consulting, Charles Schwab and AXA Rosenberg. Michael Sullivan holds a 2000 - 2003 Juris Doctor @ Northeastern University School of Law. With a robust skill set that includes AML, Alternative Investments, Asset Managment, Due Diligence, Equities and more. Michael Sullivan has 3 emails and 3 mobile phone numbers on RocketReach.
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Top Slate Asset Management Employees
Brendan Shanahan
Managing Director
Chicago, IL, US
Neil Kaufman
Chief Administrative Officer (CAO)
Syosset, NY, US
Sven Vollenbruch
Managing Director
Frankfurt, HE, DE
Molly Mahoney
Managing Director
New York, NY, US
Brandon Schwartz
Senior Vice President
Toronto, ON, CA
Steven Dejonckheere
Senior Vice President
Toronto, ON, CA
John Murray
Managing Director, Legal
Toronto, ON, CA
Allison Gilks
Vice President, Development
Toronto, ON, CA
Khushboo Shah
Vice President Finance
Toronto, ON, CA
Jessica Shum
Vice President, Investor Relations
Toronto, ON, CA
Sarah Paterson
Senior Vice President
Toronto, ON, CA
Brad Maker
VP, Finance
Toronto, ON, CA
Doug Podd
Managing Director
Toronto, ON, CA
Veronica Jarvis
Vice President
Toronto, ON, CA
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