201.323.7499 [email protected]

Fred Ellis

Managing Director, Chief Compliance Officer

Fred Ellis is an operations and regulatory compliance specialist, with extensive experience in the financial services and securities operations sectors.

Fred provides expertise in regulatory compliance assessments, operational optimization, business combination due diligence and use-case analysis.

Fred has a well-earned reputation in securities operations as a top-line regulatory compliance expert, having served 35 years as a senior manager in investor services sector, before transitioning to providing independent business advisory services in 2009.  He held senior managerial positions in Legal & Regulatory Compliance, Tax

Reporting, Escheatment Services, Disbursements & Payments and Operations.

Fred was Operations Compliance Team for Leader for 3 business acquisitions, including 2 for tier 1 organizations in their respective businesses. Fred also acted in a leadership role for 2 business relocations.

Fred graduated Magna Cum Laude with a Bachelor of Science Degree in Accounting and earned a Master of Science in Accounting from the Nathan Weiss School of Graduate Studies, at Kean University.

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