Mallory is a #compliancenerd at heart. She is an experienced regulatory compliance professional and attorney that has spent the past 10 years working in-house for VC firms and RIAs.
Mallory’s experience includes serving as Compliance Director at OpenView Advisors and working with some of the largest global asset managers in the world, including as Compliance Officer and Counsel for Natixis Investment Managers and as a Compliance Associate for Sun Life Financial.
Mallory’s experience includes building out compliance programs, reviewing policies and procedures, and conducting firmwide training and education on relevant compliance matters. Mallory’s superpower is to foster a culture of compliance and make it approachable and accessible for anyone and everyone.
On the legal side, Mallory is a trusted legal professional. Her experience includes analyzing and applying the Investment Advisers Act and the Investment Company Act obligations to RIAs, responding to regulators, and advisory agreement review.
Mallory obtained her JD from New England Law | Boston and her degree in International Business from Boise State University.
She also holds an Investment Foundations Program Certification from the CFA Institute, and she is a Certified Anti-Money Laundering Specialist (CAMS).
Mallory takes a collaborative and practical approach to her work. She has a track record of establishing and enhancing compliance programs and processes in a way that is tailored to the needs of the business.
Outside of work, you can find Mallory hiking the White Mountains with her two rescue pups or tackling a DIY project with her husband.
