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Michael assists Promontory clients with a wide range of regulatory compliance issues, with a particular focus on requirements for investment advisers and investment companies.
Prior to joining Promontory, Michael was a manager at a Washington, DC-based consulting firm where he worked on a wide range of engagements, including compliance program enhancements, mock SEC exams, and forensic trading analyses. Previously, Michael was a regulatory affairs analyst at private equity firm the Carlyle Group, where he helped establish its government and regulatory affairs department that supported deal teams with due diligence and analysis of state, federal, and EU legislation.
- B.A., political science and psychology, James Madison University
- Enhancing several aspects of a major fund group's compliance program, including third-party oversight, investment guideline and restriction monitoring, and code of ethics surveillance.
- Led development of a web-based tool for analyzing and monitoring Dodd-Frank regulatory rulemaking for globally active financial companies.
- Conducted a mock SEC examination for a private equity firm, including interviews of key personnel and review of requested documents relating to high risk areas.