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Compliance4's Peter R. Guarino joins NSCP

We are pleased to announce we are now a member of the National Society of Compliance Professionals ("NSCP"). Our President and CCO, Peter R. Guarino has joined NSCP and looks forward to contributing on a broader level.

Guarino says, "The NSCP is a great resource for legal and compliance professionals. I look forward to interacting with the other NSCP members on the forum, committees and at the national, regional and local events."

About Peter R. Guarino

Peter R. 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.

About NSCP

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.

About Compliance4

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.

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