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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