Denise D. Alfieri, IACCP
Denise Alfieri is a Managing Director at Hardin Compliance Consulting LLC. She has worked in the securities industry for over twenty years and has a strong background in investment adviser regulatory compliance. Ms. Alfieri specializes in the development, ongoing maintenance and testing of compliance programs, drafting of policies and procedures as well as the registration of investment advisers. Ms. Alfieri counsels investment advisers and private fund managers on a wide variety of investment management topics, including risk management, compliance with SEC regulations, regulatory examinations and evaluation of compliance programs.
Prior to joining Hardin Compliance Consulting LLC in February of 2012, Denise was employed as a Senior Compliance Examiner for Federated Investors, Inc. where her responsibilities included ongoing development and maintenance of policies and procedures, testing of broker/dealer activities, representing compliance in various firm initiatives, including the SEC Pay-to-Play and the IRS Cost Basis Regulations, and providing general direction in all areas of compliance and regulatory initiatives to various departments throughout the firm. Prior to her employment at Federated Investors, Inc., Denise served as a Compliance Coordinator for North Atlantic Asset Management where her responsibilities encompassed all aspects of compliance required for two broker/dealers, including the development and maintenance of written supervisory procedures, supervisory files, books and records, client accounts, and daily trade activities.
Ms. Alfieri holds Series 7 and 24 securities licenses. Ms. Alfieri also holds the designation Investment Adviser Certified Compliance Professional (IACCP®) from National Regulatory Services, Inc.Back to Team Page