About Us
About Compliance4
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 the financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s 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 the highest quality work product while providing superior client service and offering 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.
Compliance4 helps your business address the regulatory, technical and operational aspects of all facets of asset management compliance. We provide "roll up your sleeves" compliance assistance with in-depth reviews and knowledgeable consulting. Give us a call today to set up your first consultation.
Peter R. Guarino
President & Chief Compliance Officer
Peter 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.
Through a predecessor firm to Compliance4, Peter also served as the independent Fund CCO for several series trusts and standalone registered investment companies. Mr. Guarino served as the outsourced Chief Compliance Officer for Thomas Weisel Partners Group, Inc. and its affiliated mutual fund adviser, each a division of Stifel Financial. The firm was hired by two compliance consultancies where he was responsible for developing their investment company compliance services offering.
Prior to that he served as the Managing Director of Foreside, leading its compliance services division as well as serving as Fund CCO for numerous clients. With his career in San Francisco, 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 1990s, Elizabeth helped test, train, and implement the SEC's EDGAR system nationwide and participated in modernization efforts and implementation of Canada's SEDAR system as 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 and has trained internal customer service and sales executives as well as professionals from organizations including Aetna, Chase Manhattan Bank, Dewey Ballantine, Preston Gates & Ellis, and others.
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Today, Elizabeth leads Compliance4, providing executive leadership and strategic direction for the firm's regulatory compliance consulting services. Working alongside her husband, Peter R. Guarino, President and Chief Compliance Officer, she helps support investment advisers, registered funds, and financial-services organizations navigating an increasingly complex regulatory environment.
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In addition to her work in financial services, Elizabeth is the Founder and CEO of Best Ever You, a leadership and personal development company dedicated to helping individuals and organizations navigate change, achieve meaningful success, and cultivate lasting peace. She is a bestselling author, speaker, podcast host, and member of Forbes Business Council. Her books include The Change Guidebook, The Success Guidebook, and The Peace Guidebook, and her work has been endorsed by leaders including Jack Canfield and former U.S. Senator Olympia J. Snowe.
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Since 2010, Elizabeth has hosted The Best Ever You Show, interviewing hundreds of authors, entrepreneurs, athletes, executives, and thought leaders from around the world. Through her work in business, publishing, leadership development, and financial services, she brings a unique perspective on change, growth, leadership, and organizational success.
Elizabeth graduated with honors from St. Ambrose University in Davenport, Iowa, and attended Harvard Business School. She is the recipient of the 2019 Excellence in Finance — Leaders Award from FiNext for her significant contributions to the financial sector. Elizabeth and Peter reside in Maine and are the proud parents of four sons.