Tracy Email & Phone Number
Associate General Counsel @ Investment Adviser Association
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Tracy Location
- Boston, MA, US
Tracy Work
- 2024 - now Associate General Counsel @
- now Sr. Vice President and Sr. Counsel @
- 2012 - 2024 Vice President and Counsel @
- 2007 - 2024 Director and Regulatory Counsel @
- 2021 - 2024 Managing Director and Senior Counsel @
- 2007 - 2007 Vice President, Compliance Manager, Alternative Investment Strategies @ State Street Global Advisors
- 2003 - 2006 Vice President, Regulatory Compliance Manager @
- 1997 - 2003 Associate @
- now Associate @
- now Senior Compliance Analyst @ Scudder, Stevens & Clark
- now Fund Accountant @
- 1986 - 1988 Senior Customer Service Representative @ Homeowners Federal Savings and Loan
- 1983 - 1986 Sales Associate @ Weathervane
Tracy Education
- Bangor High School
- Boston College
(Finance and Marketing)
- Tulane University Law School
JD
Tracy Skills
- Proposal Writing
- Regulatory Requirements
- Policies & Procedures
- Investment Company Act
- Compliance Procedures
- Investment Advisory Services
- Global Regulatory Compliance
- Regulatory Compliance
- Capital Management
- Asset Managment
- Equities
- FINRA
- Asset Management
- Investments
- Securities Regulation
- Securities
- Capital Markets
- Corporate Governance
- Hedge Funds
- Mutual Funds
- Private Equity
- Mergers
- Alternative Investments
- Financial Services
- Investment Management
- Anti Money Laundering
- Due Diligence
- Portfolio Management
- Mergers & Acquisitions
- Financial Regulation
- Mergers
- Strategic Planning
- Microsoft Word
- Microsoft Excel
- Marketing
- Project Management
- Mergers and Acquisitions
Tracy Summary
- Tracy, based in Boston, MA, US, is currently a Associate General Counsel at Investment Adviser Association. Tracy brings experience from previous roles at Affiliated Managers Group. Tracy holds a Bangor High School. With a robust skill set that includes Proposal Writing, Regulatory Requirements, Policies & Procedures, Investment Company Act, Compliance Procedures and more. Tracy has 3 emails and 1 mobile phone numbers on RocketReach.
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