Aaron is a managing director in the Compliance and Regulatory Consulting practice at Duff & Phelps, servicing clients across the Hong Kong and Singapore offices.
Aaron started working with Duff & Phelps from 2018. He works closely with clients on complex global regulatory matters and individual cross border compliance issues surrounding their businesses across various jurisdictions, including U.S. regulatory matters, as well as the MAS in Singapore, SFC in Hong Kong and other European and Middle East regulatory bodies.
Aaron has in-depth experience with respect to Dodd Frank, the U.S. 1933 Securities Act, the 1934 Exchange Act and the 1940 Advisers Act. Aaron has also previously focused on OFAC Sanctions, AML/KYC, Terrorism Financing Policies and Procedures, Regulatory Due Diligence reviews, institutional asset allocator requirements, FCPA work, financial crime and improper trading as well as having extensive knowledge of legal structuring in Cayman, BVI and other common asset management jurisdictions.
Aaron’s experience spans former roles including serving as Head of Global Compliance for a $1bn+ global asset manager where he worked closely with the MAS, DFSA (Dubai), and other regulatory bodies, as well as his time at a $10bn+ asset manager where he co-led various departments including regulatory, compliance, fund structuring, due diligence among others.
Extensive compliance, regulatory and operational experience as senior team member at asset managers across 10+ years on Wall Street and throughout Asia:
Aaron holds a Bachelor degree from American University in Washington D.C. (U.S.) in Communication, Legal Studies, Economics and Governmental Affairs.