Tito Pombra


President

Core Compliance & Legal Services


Tito Pombra is the President of Core Compliance & Legal Services, Inc.SM (“Core Compliance”), a compliance consultation firm which services broker-dealers, registered investment advisers, hedge funds, private funds, investment companies, and financial professionals. Over the years, Mr. Pombra has garnered extensive experience in the global asset management industry, which includes over twenty-two years in the Investment Company/Investment Adviser and international compliance areas.
Mr. Pombra specializes in investment company and investment adviser regulatory compliance programs. His consultation practice is focused on the areas of regulatory exams, annual reviews, creating a strong culture of compliance, policies and procedures development, testing of compliance programs, performance advertising, and mentoring and training compliance professionals.

His industry experience encompasses the many facets of compliance, alongside its evolution. Mr. Pombra understands the multiple complexities of any firm’s regulatory requirements and has found a unique approach to meet both business demand as well as technology’s continuous advancement. Throughout his compliance career he has maneuvered alongside industry trends and emerging regulatory requirements to implement compliance technology solutions which includes email and social media surveillance, performance advertising, conflicts reviews, portfolio and personal trading and more.

Mr. Pombra’s focus in International Compliance Programs is the cornerstone to his career, as he is well-versed in the Undertakings of the Collective Investment in Transferable Securities (UCITS) compliance requirements, distribution reviews and Anti-Money Laundering Programs for International Funds.

As the former Chief Compliance Officer of Matthews International Capital Management, LLC (“Matthews Asia”) and Matthews International Funds (d/b/a Matthews Asia Funds), Mr. Pombra established his command of the compliance industry. As the CCO for Matthews Asia he was responsible for managing the compliance and anti-money laundering programs of the Investment Company, Investment Adviser and off-shore funds, and assisted with the compliance programs of Matthews Global Investors, Hong Kong and UK, registered broker-dealers. In addition, he oversaw the Matthews Asia Funds service provider’s compliance program under Rule 38a-1. During his tenure, Mr. Pombra was also the AML Officer for the Matthews Asia Funds and MLRO for the Matthews Asia Funds (Luxembourg).

Prior to joining Matthews, Mr. Pombra was at Franklin Templeton Investments and Dreyfus Funds in various compliance and accounting roles. He graduated from Queens College, NY (1987) with bachelor’s in accounting and economics.

Over the past 22 years, Mr. Pombra has established an influence in the industry as a thought leader on best compliance practices. He is a former member of the Board of Directors of the National Society of Compliance Professionals (NSCP), member of Investment Company Institute’s (ICI) CCO and Co-Chair of the San Francisco Bay Area CCO Committees. In 2008, Mr. Pombra was named as a Top 20 Rising Star for “Who’s Who” in Upcoming Compliance Professionals by Compliance Reporter magazine. He frequently speaks at industry conferences such as NSCP, Investment Company Institute, Investment Adviser Association, IA Watch, Private Equity Institute, and many others on a wide variety of compliance related subjects.


Related Sessions

View full schedule