John Van Der Wal

John M. Van Der Wal is a Senior Director based in the San Francisco Bay Area since 2014. John brings over 20 years of compliance and industry related experience to his position at COMPLY, delivering comprehensive compliance solutions and services to all types of investment management firms. Working closely with senior management and staff, John strives to identify regulatory obligations, compliance opportunities and solutions. He also assists firms in developing, implementing and testing comprehensive compliance programs tailored to the firm’s unique practice and business activities, considering resources and initiatives of the firm.

Prior to joining COMPLY, John was President of Compliance Advisory Services, LLC, providing compliance consulting services to registered investment advisors for 12 years. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from the San Francisco District Office.

He has worked in a variety of securities and investment related environments, including asset management, financial services, brokerage and consulting. John’s industry experience provides a unique perspective offering clients compliance solutions that consider the big picture without ignoring attention to detail.

John earned his undergraduate degree from the University of California at Davis and received an MBA from the University of San Francisco. John is a lecturer, and current certificate holder of the Investment Adviser Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA), and regularly speaks at conferences and webinars.

8f. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate - OPEN)