Colin serves as a compliance consultant for RIA Compliance Consultants. He is responsible for new registrations, preparing and amending compliance manuals, preparing mock regulatory reviews, email reviews and annual compliance review. He also assists in research on new regulatory issues, drafting language for compliance reviews and checklists, and creates blogposts explaining recent regulatory trends. Colin first interned with RIA Compliance Consultants in 2016 and is excited to begin a career with the company.
Colin graduated from the University of Nebraska-Lincoln in 2018 with a Bachelor of Science in Finance and minors in Economics and Political Science. Prior to his graduation Colin held several different positions.
He interned with the U.S. Securities and Exchange Commission (“SEC”) in the Office of Compliance Inspections and Examinations, Investment Advisor/Investment Company Division. During his time at the SEC, he participated in in-office examinations of investment advisers in the Chicago area, prepared due diligence on investment adviser firms to be examined, conducted a risk analysis of Chicago area investment adviser firms and attended closed commission meetings.
Colin also interned at Cambridge Investment Research, working on the Broker Dealer Compliance team. During his time at Cambridge, he helped prepare responses to regulatory authorities FINRA and the SEC, worked with the trade review platform to identify problematic trading patterns, and worked with the technology team to implement new rules and procedures to identify problematic trading and behavior.
While attending UNL, he served as a Government Relations Intern for a Nebraska state lobbying firm Kissel, Kohout, ES Associates. While there, he led a team of interns who created reports covering all the legislative committee hearings, which were then sent out to firm clients to keep them informed of the progress of various legislation.