Joe McDermott

Joseph McDermott, CFA, FRM, is a certified compliance professional with over 25 years of compliance, risk, operational and managerial experience working with investment advisers, mutual funds, private funds, securitized funds, and broker-dealers. Mr. McDermott has served as Chief Compliance Officer (“CCO”) for registered investment advisers, investment companies and broker-dealers. He has experience working with international regulatory authorities, including the SEC, DOL, OSC, FINRA and the NFA. He is a former securities regulator, in-house compliance/risk professional and regulatory consultant. He has broad experience managing examinations in addition to conducting operational, due diligence and risk management assessments. Mr. McDermott is currently the Chief Risk Officer and Chief Compliance Officer of Curi RMB Capital, LLC (formerly RMB Capital Management, LLC) in Chicago. In that role, he also serves as the CCO for the RMB Investors Trust, a registered investment company. Prior to joining Curi RMB, he was a Managing Director with ACA Group (“ACA”) due to the acquisition of Alaric Compliance Services (“Alaric”) by the Foreside Financial Group (“Foreside”) and the subsequent merger between Foreside and ACA.

Before joining Alaric, he was the CCO for the THL Credit Senior Loan Fund, a NYSE listed closed-end fund, and the Compliance Manager for its investment adviser, THL Credit Advisors LLC, an alternative credit adviser. Prior to his employment at THL Credit, he served as CCO for Aviva Investors Americas, LLC and Aviva Investors Canada, Inc. where he was responsible for all North American compliance activities for the investment advisory affiliates of Aviva plc, one of the largest insurance companies in the United Kingdom. Mr. McDermott has served either as the CCO or in a senior compliance role for several other investment advisers in the Midwest, including Keeley Asset Management, First Trust Advisors, Driehaus Capital Management and Artisan Partners LP. From 1996 to 2000, Mr. McDermott was a Field Supervisor in the Chicago office of the NASD (now known as FINRA) where he was responsible for conducting financial and operational audits of registered broker-dealers. Before joining the NASD, he was an investigator with the Chicago Board of Trade’s Office of Investigations and Audits. Mr. McDermott previously served on the Board of Directors of the National Society of Compliance Professionals and is a frequent speaker at compliance conferences and seminars. He is a contributing author to Modern Compliance: Best Practices for Securities & Finance (Wolters Kluwer September 2015). Mr. McDermott holds both a Master of Business Administration (MBA) and a Bachelor of Arts (BA) degree. He has held the following licenses Series 3, 4, 7, 24, 27, 31, 53, 55, 65, and 66. Mr. McDermott has several accreditations/certifications, including the Chartered Financial Analyst (CFA) charter from the CFA Institute, the Financial Risk Manager (FRM) designation from the Global Association of Risk Professionals, and the Financial Modelling & Valuation Analyst (FMVA) designation from the Corporate Finance Institute. He previously held the Certified Anti-Money Laundering Specialist designation from the Association of Certified Anti-Money Laundering Specialists and the Certified Financial Services Auditor designation from the Institute of Internal Auditors.

10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN)