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.
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.
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 graduated with honors in 1991 from St. Ambrose in Davenport, Iowa and attended 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. She and her husband Peter reside in Maine and have four sons. Her husband Peter serves as the firm's President and CCO.