Broker-Dealer Support Services

Greyline provides the following ongoing compliance support and services for its broker-dealer clients:

  • Initial setup of compliance program. This includes an in-depth review and gap analysis of your firm’s written supervisory procedures, including anti-money laundering procedures. Upon completion of this review, Greyline will deliver and assist in implementing a complete compliance program customized to your firm.
  • Ongoing assistance in implementing processes as outlined in your firm’s written supervisory procedures, and completing tasks according to your firm’s compliance program.
  • Ongoing review of published regulatory updates to determine the impact to your firm. Applicable updates will be made to your firm’s compliance program as necessary.
  • Training:
    • Firm Element Continuing Education (Rule 1120b): annual needs analysis and program setup.
    • Annual compliance meeting facilitation.
  • FINRA exam preparation, as occurs.
  • Annual independent audit and testing of AML procedures (Rule 3310).
  • Annual internal OSJ compliance audit/inspection (Rule 3110(c)).
  • Annual testing and verification of supervisory controls and CEO certification (Rules 3120 and 3130).
  • Form filings, as occurs (Form BD, Form U4, Form U5)
  • FINRA CRD and firm gateway monitoring, support and facilitation.
insider trading

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

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JP Gonzalez

Partner
JP Gonzalez is a Partner at Greyline and heads the company’s technology and sales initiatives globally. He is also a member of gVue’s steering committee. Prior to joining Greyline, JP spent six years designing and evangelizing Compliance Regulatory Technology for broker-dealers, investment advisors and fund managers, where he assisted clients with all aspects of complying with FINRA, SEC and state rules and regulations related to a firm’s code of ethics. His technology background includes five years as a software developer and program manager at Microsoft, with his last two years at Microsoft as the UX/UI usability and accessibility program manager for Internet Explorer. He has a B.S. in Computer Science from Rose-Hulman Institute of Technology.

Nick Thomas

Partner
Nick Thomas is a Partner at Greyline and oversees the London office, which provides compliance support to U.K.-based hedge funds, private equity firms and other alternative asset managers. Prior to joining Greyline, Nick spent 13 years at the Financial Conduct Authority, the U.K. regulator, followed by three years at a well-known international compliance consultancy. During this time, he gained a broad and deep understanding of the U.K. regulatory environment applicable to alternative asset managers – both from the perspective of the regulator and the firms being regulated. His time at the FCA included working as a supervisor on the alternative investments team, with responsibility for supervising some of the largest and most prominent hedge funds in the U.K., and undertaking firm examinations across a broader population of alternative asset managers. Prior to this, he worked extensively on AIFMD implementation from the FCA’s perspective, as well as assessing applications from investment firms seeking to obtain FCA authorization. Nick obtained a BSc in Mathematics from Imperial College London. In addition, he holds the Investment Management Certificate (IMC), the Fundamentals of Alternative Investments Certificate and the Financial Planning Certificate (FPC). He also speaks Japanese.

Tim Goodwin

Partner
Tim Goodwin is a Partner at Greyline and the head of the Fort Worth office. Prior to joining Greyline, Tim spent two years providing ongoing compliance and consulting services to alternative asset managers, including private equity funds, venture capital funds, real estate funds and hedge funds. He worked at TPG Capital for seven years in compliance and internal audit positions. As a director in the risk management and internal audit department, Tim was responsible for documenting and testing TPG’s allocation of fees and expenses, as well as preparing the firm for possible public listing, by leading TPG’s efforts in Sarbanes Oxley testing and compliance. Before joining the internal audit team, he spent five years running TPG’s compliance testing efforts across all of TPG’s businesses, including the private equity funds, credit platform, hedge funds, a 40 Act fund and a registered broker dealer. Prior to joining TPG Capital and moving to Texas, Tim spent more than six years with UBS Wealth Management (New York and New Jersey) in various compliance roles, touching on investment company, investment adviser and broker dealer compliance. He was most recently the chief compliance officer to UBS’s unit investment trusts and a compliance director for advisory products, including the separately managed account, financial advisor discretionary and mutual fund wrap programs. He assisted UBS in its first ever required annual reviews conducted pursuant to the compliance program rule, helped design and implement compliance policies and procedures for UBS’s advisory programs, and routinely assisted in updating required disclosure documents, including the Form ADV.

Jennifer Dickinson

Partner
Jennifer Dickinson is a Partner at Greyline and heads the firm’s Chicago office, as well as its CFTC/NFA practice. Her clients include private fund managers (hedge, private equity, venture capital and real estate), traditional RIAs, CPOs, CTAs and Swap Dealers. Jennifer advises on a range of compliance matters, including code of ethics/insider trading issues, risk management, compliance training, conflicts of interest and regulatory examinations. Prior to joining Greyline, Jennifer was the managing director of Sansome Strategies, a boutique compliance consulting firm specializing in alternative asset managers. Her other consulting experience includes serving as chief compliance officer for three prominent, SEC-registered investment advisers. Jennifer has also worked at noted law firms in the financial services space, including Cole-Frieman & Mallon LLP and Pillsbury Winthrop Shaw Pittman LLP. Jennifer began her career as the legal and compliance administrator at Standard Pacific Capital LLC, a SEC-registered, multi-strategy hedge fund manager based in San Francisco. Jennifer has an undergraduate degree from DePauw University and a law degree from Golden Gate University School of Law, where she was the editor–in–chief of the Law Review.

Sean Wilke

Partner & Head of Strategic Growth
Sean Wilke is a Partner, and the Head of Strategic Growth at Greyline and its affiliate GCM Advisory, which specialize in compliance consulting and outsourced finance, accounting and operations. He has extensive experience advising various types of investment managers, including hedge funds, private equity/credit funds, wealth managers, registered investment companies, institutional allocators and family offices, on a range of regulatory, compliance, operational and management matters. Before joining Greyline, Sean was a director within the governance, risk, investigations and disputes group at Duff & Phelps, where he focused on compliance and regulatory consulting for the alternative investment space. Prior to that, he was the general counsel and chief compliance officer of Bramshill Investments, a $4 billion, multi-strategy investment manager, where he oversaw all legal and compliance affairs. Sean also spent four years as a corporate and securities attorney at a law firm, as well as three years as a compliance associate at Bear Stearns & Co., where he performed surveillance for the investment and merchant banking groups. Sean has a B.A. in Political Science from Rutgers University and a J.D. from New York Law School.

Kathy Malone

Partner & Head of Consulting
Kathy Malone is a Partner at Greyline and co-head of the firm’s New York office. Before joining Greyline, she was an examiner with the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations in the Boston and New York offices, where she participated in numerous investment adviser and broker-dealer examinations. Prior to her time with the SEC, she was an examiner with FINRA, completing many examinations of broker-dealers and enforcement referrals. Most recently, Kathy worked for a consulting firm where she assisted broker-dealers, investment advisers and investment companies with the registration process, examination support and ongoing compliance needs. She has a B.S. in Finance from Villanova University and a Juris Doctor from Seton Hall Law.

Talia Brandt

Partner & Chief Operating Officer
Talia Brandt is a Partner at Greyline, and a member of gVue’s steering committee. Her team from Vista Compliance, LLC joined Greyline in May 2017. Talia founded Vista Compliance — a compliance consulting firm servicing broker-dealers, registered investment advisors and private fund managers — in April 2008. In her role with Greyline, Talia works closely with firms to ensure compliance with FINRA, state and SEC regulations. She has developed and implemented compliance and financial policies and procedures to ensure solid internal controls are in place for varying financial services firms. In addition to her compliance consulting work, Talia has served internally to firms as chief compliance officer and holds FINRA Series 7, 24, 66 and 79 registrations. Prior to forming Vista Compliance, Talia worked at Goldman Sachs in the investment management division in Salt Lake City. She then moved to the Bay area, where she went to work with smaller startup, boutique financial services firms.

Matt Okolita

Managing Partner

Matt Okolita is Managing Partner of Greyline, and a member of gVue’s steering committee. He has extensive SEC, FINRA and CFTC experience, having worked for and with premier hedge funds, private equity and venture capital firms, CLO and other debt managers, business development companies and mutual fund managers in both legal and compliance roles. Matt’s background includes undertaking a variety of legal and compliance functions, serving as counsel and chief compliance officer for startup managers, as well as international asset managers managing more than $30 billion. Matt has a Bachelor of Arts in Political Science and Economics from Bucknell University and a Juris Doctor from Suffolk University Law School, with distinction in Business Law and Financial Services.

“Greyline has been a valued and critical partner to the success of our firm, Additive Advisory PBC, over the past several years. Serving as a trusted, knowledgeable, and responsive resource in an area of the highest importance to us – regulatory and operational compliance – Greyline has acted, in all respects, like an internal resource more than an outsourced provider, working to understand our business and situation fully and to adapt advice to our specific circumstance, rather than applying a check-the-box mindset.”
Jeffrey Engelberg, CFACo-Founder of Additive Advisory PBC
“We are proud to have Greyline as a staunch partner and supporter, offering our archiving and messaging solutions to complement their own service offerings. We are committed to continually building a solid, mutually beneficial relationship with them, and to helping them address their customers’ compliance needs.”
Global Relay
“It’s difficult to support RIA clients without partners like Greyline. While we’re cybersecurity experts, Greyline provides expertise in all other areas of SEC compliance. In addition, when we’re working with a new CCO, having Greyline in the mix is even more important, “
Anne BisagnoCEO, Xantrion Inc.
"Compliance is a very important component of our business, and knowing that we have a trusted and highly competent firm like Greyline gives us confidence in both our daily activities and our future growth goals. We feel fortunate to have the Greyline team as part of our team, and continue to count on them in every aspect of compliance and regulatory advisory.”
Art DeGaetanoFounder & CIO, Bramshill Investments
"Greyline has a wonderful depth of knowledge, not only with respect to regulatory matters, but how to apply those requirements in a commercial and efficient manner. Working with Greyline has been great since they are always professional, responsive and thorough in their reviews and feedback to us, which helps us feel confident in their advice.”
Sonia Plata, Napier Park
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