Joe joined Runway Growth Capital in 2021 as Chief Compliance Officer.
Joe is a certified compliance professional with over 20 years of compliance, risk, operational and managerial experience working with investment advisers, mutual funds, private funds, securitized funds and broker-dealers. He has served as Chief Compliance Officer (“CCO”) for registered investment advisers, investment companies and broker-dealers. Joe has extensive experience working with regulatory authorities, including the SEC, DOL, OSC, FINRA and the NFA and is a former securities regulator. He has broad experience managing examinations in addition to conducting operational, due diligence and risk management assessments.
Joe most recently served as the CCO for the THL Credit Senior Loan Fund, a NYSE listed closed-end fund, and the Compliance Manager for its investment adviser, THL Credit Advisors LLC – a $16 billion alternative credit adviser. Prior to his employment at THL Credit, he served as CCO for Aviva Investors Americas, LLC and Aviva Investors Canada, Inc. where he was responsible for all North American compliance activities for the investment advisory affiliates of Aviva plc, one of the largest insurance companies in the United Kingdom.
He currently serves on the Board of Directors of the National Society of Compliance Professionals (“NSCP”) and is a frequent speaker at compliance conferences and seminars. Joe is a contributing author to Modern Compliance: Best Practices for Securities & Finance (Wolters Kluwer September 2015).
He holds both a Master of Business Administration (MBA) and a Bachelor of Arts (BA) degree. Joe has held the following licenses: Series 3, 4, 7, 24, 27, 31, 53, 55, 65, and 66. He has a number of accreditations, including the Financial Risk Manager (FRM) designation from the Global Association of Risk Professionals, the Certified Securities Compliance Professional (CSCP) designation from the NSCP, and the Financial Modelling & Valuation Analyst (FMVA) designation from the Corporate Finance Institute..
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