Joseph McDermott


Chief Compliance Officer

Aviva Investors Americas LLC


Joseph McDermott, FRM, CSCP, is the Compliance Manager for THL Credit Advisors LLC, an alternative credit adviser. Prior to joining THL Credit, Mr. McDermott was the Chief Compliance Officer (“CCO”) for both Aviva Investors Americas LLC in Chicago and Aviva Investors Canada, Inc. in Toronto. Before Aviva, he was the CCO for Keeley Asset Management Corp., Keeley Investment Corp. and The KEELEY Funds. Mr. McDermott spent about four years as a director with Alaric Compliance Services, LLC where he provided outsourced CCO and other compliance consulting services to investment advisers, regulated investment companies, hedge funds, and broker-dealers. Mr. McDermott has approximately 22 years of compliance experience and has previously served as CCO or compliance director for Driehaus Capital Management, Artisan Partners L.P., and First Trust Portfolios L.P. From 1996 to 2000, he was a Field Supervisor in the Chicago office of the NASD where he was responsible for conducting financial and operational audits of NASD registered broker/dealers. Prior to joining the NASD, Mr. McDermott was an investigator with the Chicago Board of Trade’s Office of Investigations and Audits. Mr. McDermott received an M.B.A. from De Paul University and an undergraduate degree from Loras College. In addition to holding the Series 3, 4, 7, 24, 27, 53, 55, 66 and 99 licenses, Mr. McDermott also holds the Financial Risk Manager (“FRM”) designation from the Global Association of Risk Professionals and the Certified Securities Compliance Professional (“CSCP”) designation from the National Society of Compliance Professionals. He previously held the Certified Financial Services Auditor designation from the Institute of Internal Auditors and the Certified Anti-Money Laundering Specialist designation from the Association of Certified Anti-Money Laundering Specialists.


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