ABOUT US

At Compliance4, we understand that regulatory oversight and compliance are not always easy.

 

Compliance4 is a boutique regulatory compliance consulting firm based in Portland, Maine. We are  a leader in the compliance and regulatory services industry by offering expert compliance services and high quality comprehensive regulatory solutions.

We offer superior outsourced compliance resources and expertise, designed to be an integral part of our client’s daily operations, resulting in a stronger, more focused and competitive firm. We strive to help our clients succeed in a financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s evolving needs.

We are determined to serve our clients with the highest level of professionalism and with a personal, high-touch approach to client relations. We value long-term relationships and design our compliance solutions to grow and evolve as our clients do the same.

We focus on providing superior client service, the highest quality work product, and the most favorable pricing possible with one clear mission in mind: to ensure any compliance expense is seen as a true value-add and not simply an operational cost.

 

Give us a call today to set up your first consultation.

ABOUT US

Peter R. Guarino 
President & Chief Compliance Officer

Mr. Guarino has over 35 years of legal, global investment management regulatory and compliance experience.  In addition to his role as President of Maine-based Compliance4, LLC, he and the firm provide comprehensive and customized compliance consulting services to investment advisers, registered investment companies and private funds.  More recently and before starting Compliance4, Peter served in senior compliance roles with two compliance consultancies where he was responsible for developing their investment company compliance services.  Prior to that, Mr. Guarino served as the Chief Compliance Officer for Thomas Weisel Partners Group, Inc. and its affiliated mutual fund adviser, Montibus Capital, each a division of Stifel Financial.  Peter also served as the independent Fund CCO for several series trusts and standalone registered investment companies and served as a consultant to investment advisers through a predecessor firm to Compliance4.  From 2004 to 2008, he served as the Managing Director of Foreside, leading its compliance services division as well as serving as Fund CCO for numerous clients. Formerly, he served as General Counsel and Global Chief Compliance Officer for MiFund, Inc., a privately held investment company services firm. In addition to his compliance work, Peter has extensive business and administrative experience and served as the Chief Operating Officer of Merrill Corporation’s Investment Company Services division. Finally, Peter was Senior Counsel and Secretary at GT Global/LGT Asset Management in San Francisco. He began his legal career at The Dreyfus Corporation in New York.  He is licensed to practice law in Massachusetts and New York.  Peter received his J.D. from Suffolk University Law School in Boston and his B.A. from Rutgers University.

Elizabeth Hamilton-Guarino
Chief Executive Officer

Elizabeth Hamilton-Guarino is the Chief Executive Officer of Compliance4 and a veteran of the financial services industry. Throughout the 90s, Elizabeth helped test, train and implement the EDGAR system nationwide and implement modernization and the SEDAR System in Canada, as the Director of EDGAR and Regulatory Services at Merrill Corporation, Integreon and American Financial Printing. Elizabeth has chaired several EDGAR conferences with the Securities and Exchange Commission, as well as, trained internal customer service and sales executives and several firms such as Aetna, Chase Manhattan Bank, Dewey Ballantine, Preston Gates and Ellis and more.

Elizabeth is now also a recognized leader in personal development and leadership. Elizabeth is the founder and CEO of The Best Ever You Network and an author of the best-selling book PERCOLATE - Let Your Best Self Filter Through. The Best Ever You Network has growth into a brand with more than one million followers on verified social media platforms and millions of radio listens and downloads on The Best Ever You Show, which can be heard live on Blogtalkradio and is syndicated on iHeartRadio, Spotify, iTunes and more.

As a result of these experiences, combined with her background and understanding of SEC and FINRA rules, Elizabeth also consults with companies regarding their branding efforts, to establish a positive online presence, engage their clients and position the company and develop their brand appropriately and ethically in social media. An expert in mentoring people to market their strengths and achieve brand excellence, she works with clients worldwide to illuminate their light within, develop their best life and become their Best Ever You with gratitude-based behavior and belief systems. Elizabeth ranks consistently as one of the Top 40 social media CEOs on Twitter. Her hashtags #BestEverYou and #TipstoBeYourBest are widely circulated.

Elizabeth graduated with honors in 1991 from St. Ambrose in Davenport, Iowa and currently attending Harvard Business School. Elizabeth is the recipient of the 2019 Excellence in Finance — Leaders award for her significant contribution towards the financial sector from FiNext. Elizabeth serves as a Leadership Advisor for the Olympia Snowe Women's Leadership Institute. She and her husband Peter reside in Maine and have four sons. Her husband Peter serves as the firm's President and CCO.

Elizabeth has been featured in US News and World Report, The Quad City Times, Global Leadership Platform, and more.

John Shields
Managing Director

John has over 44 years of asset management industry experience, with an emphasis on regulatory and compliance issues. John’s compliance and regulatory background includes 13 years of public accounting experience at Deloitte’s New York practice office and heading the investment management consulting practice of Navigant Consulting, a leading international forensic and litigation support consulting firm, during the implementation timeframe of Rules 206(4)-7 of the Investment Advisers Act and 38a-1 of the Investment Company Act which have imposed significant compliance requirements on the Investment Advisor and Investment Company industries. John’s experience includes CEO roles at two mutual fund complexes, and led MetLife’s mutual fund distribution company. John also served as CEO of Registered Investment Advisor firms serving the needs of retail, institutional, and investment company clients, CEO of two mutual fund complexes, and led MetLife’s mutual fund distribution company.

 

John currently serves on the Board of a mutual funds complex, and three technology companies.

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