About

Why I Founded No Bad Acts LLC

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Over time, I saw that many firms needed senior-level compliance judgment but did not require—or could not justify—a full-time Chief Compliance Officer. I established No Bad Acts LLC to provide that level of experience in a more flexible and focused model, working directly with clients to deliver practical, high-quality guidance without the layers and turnover often associated with larger consulting firms.

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A Practical, Institutional Approach to Compliance

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Many compliance programs are built to satisfy formal requirements. Far fewer are designed to withstand detailed regulatory review or institutional investor diligence.
 

My approach focuses on how compliance functions in practice:
 

• How decisions are documented and supported

• How conflicts are identified, evaluated, and disclosed

• How policies are implemented consistently across the organization

• How firms demonstrate accountability and oversight
   

The objective is not simply to “have” a compliance program, but to ensure it is credible, defensible, and aligned with how regulators and investors assess risk.

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My Professional Background

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• Former Examiner, U.S. Securities and Exchange Commission

• Senior compliance roles at global asset managers, including JPMorgan, Morgan Stanley, and GIC

• 20+ years of experience in investment adviser compliance and regulatory matters

• Extensive experience advising private equity and hedge fund managers

• Focus on SEC regulatory requirements, governance frameworks, and institutional standards
   

How I Work with Clients

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I work directly with founders, COOs, and senior investment professionals to provide clear, practical guidance on compliance matters. Engagements are structured to align with each firm’s stage of growth—ranging from initial program buildout to full outsourced Chief Compliance Officer support. The focus is on delivering senior-level judgment, not junior-level process.

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A well-designed compliance program is not simply a regulatory requirement—it is a critical component of how a firm presents itself to regulators, investors, and counterparties.

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