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Marsha L. Harmon
COO / Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
marsha.harmon@corecls.com
COO / Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
marsha.harmon@corecls.com
PRACTICE AREAS
• Registered Investment Adviser and Hedge Fund Compliance Programs
• Development of Policies and Procedures and Internal Controls
• Operational Risk Management
• Electronic Communications Compliance Controls
• Mock Regulatory Audits and Evaluations
• Business Continuity Plans
Ms. Harmon has served the securities industry for over ten years and has
extensive knowledge in hedge fund and investment advisory operations. She
serves as CCLS’ Chief Operations Officer and is responsible for spearheading
the firm’s marketing and customer relations area as well as oversees human
resources and account administration. As a Compliance Consultant, Ms.
Harmon’s practice focuses on operational risk management issues, including
assessment of advisory and private fund compliance programs, analysis of
electronic communication controls, preparation for regulatory examinations,
testing of business continuity plans and evaluation of the effectiveness of
internal policies and processes.
Prior to joining CCLS, Marsha worked for over ten years at a SEC registered
hedge fund where she was responsible for day-to-day compliance efforts and
assisted with due diligence efforts involving new business lines, entity
formation, wind-up and dissolution processes, regulatory examinations and
policy and procedure development, review and revision. With her diverse
knowledge, Ms. Harmon provides our clients with practical solutions to
complying with current regulatory demands.
PROFESSIONAL AFFILIATIONS
Member, National Society of Compliance Professionals
Member, Southern California Compliance Group
• Registered Investment Adviser and Hedge Fund Compliance Programs
• Development of Policies and Procedures and Internal Controls
• Operational Risk Management
• Electronic Communications Compliance Controls
• Mock Regulatory Audits and Evaluations
• Business Continuity Plans
Ms. Harmon has served the securities industry for over ten years and has
extensive knowledge in hedge fund and investment advisory operations. She
serves as CCLS’ Chief Operations Officer and is responsible for spearheading
the firm’s marketing and customer relations area as well as oversees human
resources and account administration. As a Compliance Consultant, Ms.
Harmon’s practice focuses on operational risk management issues, including
assessment of advisory and private fund compliance programs, analysis of
electronic communication controls, preparation for regulatory examinations,
testing of business continuity plans and evaluation of the effectiveness of
internal policies and processes.
Prior to joining CCLS, Marsha worked for over ten years at a SEC registered
hedge fund where she was responsible for day-to-day compliance efforts and
assisted with due diligence efforts involving new business lines, entity
formation, wind-up and dissolution processes, regulatory examinations and
policy and procedure development, review and revision. With her diverse
knowledge, Ms. Harmon provides our clients with practical solutions to
complying with current regulatory demands.
PROFESSIONAL AFFILIATIONS
Member, National Society of Compliance Professionals
Member, Southern California Compliance Group
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0020 Fax: 619-278-0050 |
