Ann Marie Swanson


Alaric Compliance

Ms. Swanson is a Director of Alaric Compliance Services, LLC and serves as a regulatory compliance consultant to investment companies and investment advisers.   Ms. Swanson is a  compliance and legal professional with over 20 years’ experience serving as a chief compliance officer and advising registered investment advisers offering separately managed accounts, institutional products, mutual funds, private funds (domestic and offshore, ERISA and Non-ERISA), and bank collective funds.
Ms. Swanson has extensive experience with the Investment Adviser and Investment Company Act of 1940. Her background includes building and strengthening compliance policies, programs, and risk infrastructure to meet business and regulatory needs.  She has been successful in helping companies address deficiencies identified by the SEC, Federal Reserve, and other regulators and in positioning organizations to navigate future regulatory scrutiny.
Currently, Ms. Swanson’s clients include several investment advisers and investment companies, including an investment company that has a sub-adviser located in Hong Kong, and a large investment adviser that manages several sophisticated private funds.  Ms. Swanson’s clients have varying products including exchange traded equity funds, private equity, real estate, algorithmic high frequency trading and certain fundamental bottom up equity strategies.
Prior to joining Alaric, Ms. Swanson held a number of senior legal and compliance positions including: Vice President and Chief Compliance Officer at Schwab/Thomas Partners Investment Management, a privately held adviser; General Counsel/Chief Compliance Officer for Transamerica Investment Management, LLC (“TIM”), a firm owned by AEGON, the Dutch insurance company; Chief Compliance Officer for the Post Advisory Group, LLC, a high-yield and distressed debt institutional investment manager, hedge fund manager and mutual fund sub-adviser; Head of Risk Management and Compliance for Mellon Financial/Boston Company Asset Management; and Vice President, Retirement Services Division for Fleet Investment Services.
Ms. Swanson began her career as a Compliance Examiner for the Department of Labor in the Employee Benefits Security administration. She received her Juris Doctor, Dean’s List, from Suffolk University School of Law; Boston, MA and holds a Bachelor of Arts, cum laude from the University of Massachusetts, Amherst, MA. She is a member of the Massachusetts Bar.

Related Sessions

View full schedule