As Nottingham’s Director of Compliance, Matt serves as designated Chief Compliance Officer to registered funds to ensure that our administered funds are complying with federal securities laws as defined by Rule 38a-1 and reviewing RIA compliance programs under the Investment Advisers Act.
Matt brings 16 years of legal and compliance experience to the Nottingham team. Former tenures include civil and commercial litigation for several private firms as well as the New York City Law Department. During a healthy stint at FINRA, he served as Counsel in Member Supervision and Market Regulation Enforcement, investigating and actively litigating FINRA rule and policy violations arising from surveillance and examination programs, and communicating with the SEC on various initiatives. He also served as a Compliance Consultant for National Regulatory Services, providing compliance solutions to RIAs and broker-dealers on issues relating to the Investment Advisers Act, the Securities Exchange Act, FINRA rules and other state securities regulations. Matt earned his undergraduate degree from Duke University and his Juris Doctorate from The George Washington University School of Law. He is a member of both the District of Columbia and New York State Bars.
Matt enjoys spending as much time as possible outdoors with his family and running and hiking with his retriever.