Bruce serves as a senior member of the Regulatory & Financial Risk practice assisting investment and wealth management clients and service providers with regulatory, operational and compliance issues. Bruce has more than 37 years of experience in the investment and wealth management industry, with a particular emphasis on registered investment companies and alternative products, registered investment advisers, third-party administrators, transfer agents, and underwriters. In addition to his industry experience as a regulatory consultant, Bruce has held senior legal and compliance positions at large investment advisers, including sponsors of managed account and wealth management programs, administrators, and custodial banks servicing registered and unregistered products. Bruce has also served as the senior business executive and President of a global custodian's third-party investor servicing business. During his career, Bruce has been involved in numerous SEC enforcement matters assisting with investigations, remediations and negotiated settlements.
Bruce is admitted to practice law in New York and Connecticut and is a past member of the ICI Rules Committee and Chief Compliance Officer Committee, and past Co-Chair of the NICSA Legal and Regulatory Committee and Co-Chair of the NICSA Compliance and Risk Management Committee. Bruce is also the co-author of numerous articles addressing regulatory and compliance issues in the investment and wealth management industry.
Bruce received his Bachelors of Science degree in Business Administration from Syracuse University and attended law school at Pace University.