ACA Compliance Group
Dan Campbell joined ACA in May 2011 as a Senior Principal Consultant. Now a Managing Director, Dan provides advice to investment advisers, hedge fund managers, and private equity firms on compliance with federal securities laws. In this role, he manages and conducts compliance program reviews and mock SEC inspections of investment advisers and assists these firms in identifying and addressing their unique compliance and operational risks. Dan also helps clients write customized compliance manuals, reviews trading activity and disclosure documents, conducts forensic testing on various risk areas, and prepares investment advisers for registration with the Securities and Exchange Commission (“SEC”). In addition, he provides compliance consulting to municipal advisors, which includes assistance in developing supervisory and compliance programs. Besides his consulting work, Dan speaks at industry events, participates on industry expert panels, and writes articles on current compliance issues for widely read industry periodicals. Prior to joining ACA, Dan served as Assistant Regional Director at the SEC’s Atlanta Regional Office. While there, he supervised three branch offices conducting registered investment adviser, investment company, and broker-dealer examinations. During this period, Dan took part in strategic planning for investment adviser and investment company examinations, which included communicating Office of Compliance Inspections and Examinations goals to his managers and staff. Dan also trained and coached his managers and staff on examination techniques and regulatory initiatives and maintained regular communications with various SEC divisions and offices, investors, registrants, and other regulatory agencies. Dan earned his Bachelor of Business Administration degree from James Madison University. He received his MBA from Emory University’s Goizueta Business School. Dan is a Certified Fraud Examiner and has passed the Level I Exam of the Chartered Alternative Investment Analyst program.