Adam Shoffner

Vice President

Duff & Phelps

Adam is part of the Compliance and Regulatory Consulting practice in New York. He works closely with mutual fund clients supporting mutual fund advisor CCOs, conducting advisor due diligence, implementing Rule 38a-1 Compliance Policies and Procedures and conducting SEC mock exams. Prior to joining Duff & Phelps, Adam was a Director on the Fund Governance Team at Foreside, served as Assistant Secretary for a retail mutual fund complex and provided regulatory and board services to various mutual funds. Prior to Foreside, Adam was a Senior Paralegal at Hartford Funds and held various positions at Scotia Institutional Asset Management and Bank of New York and its predecessors, primarily in the compliance, regulatory and governance space. Adam has a BS in Business Administration from Millersville University.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843