Director – Registered Investment Companies
Acendant, a CSS Company
Allison provides compliance services to investment advisers, registered investment companies and private investment funds, including annual compliance program reviews, risk assessments, preparation for SEC examinations and service provider due diligence reviews. She also assists clients with drafting policies and procedures and preparing regulatory filings.Additionally, Allison has served as an interim CCO for a family of registered investment companies while the Board was conducting a CCO search. Prior to joining Ascendant, Allison served as a Senior Vice President of Compliance at Northern Trust Investments, Inc. (NTI), the asset management subsidiary of The Northern Trust Company. In this capacity, she managed and administered the compliance due diligence program for NTIs Multi-Manager Solutions and Outsourced Chief Investment Officer businesses. Allison also served as the Chief Compliance Officer of two funds of hedge funds registered under the Investment Company Act of 1940 and was a member of the funds Pricing and Disclosure Committees. Before joining NTI, Allison served as the Compliance Director for General Motors Asset Management, where she assisted with the administration of the compliance program for this registered investment adviser. Allison earned a B.S. from the University of Vermont and a Legal Assistant Certificate from The George Washington University. Allison has also obtained the designation as a Certified Fraud Examiner. Compliance Solutions Strategies is a global RegTech platform delivering a set of comprehensive and complementary technology-enabled regulatory solutions that serve compliance professionals across the financial services industry.