New Compliance and Regulatory Services

Compliance services for SEC-registered investment advisers and broker-dealers
Experience in evaluating, implementing and leading compliance, audit, and anti-money laundering departments
Assessment of enterprise regulatory risk and development and implementation of compliance programs to manage risk
EisnerAmper's compliance and regulatory services team is led by Gary Swiman who is a Certified Fraud Examiner (CFE), a Certified Anti-Money Laundering Specialist (CAMS), and a Chartered Hedge Fund Professional (CHP)
Mr. Swiman frequently presents on anti-money laundering and forensics topics to professional groups
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EisnerAmper Launches New Compliance and Regulatory Services

Contact: Gary Swiman

June 11, 2014

Experienced compliance team to offer wide range of services to SEC-registered investment advisers and broker-dealers

EisnerAmper LLP, a leading accounting, tax, and advisory firm, is pleased to announce the launch of EisnerAmper Compliance and Regulatory Services, LLC (CARS), a full-service consultancy providing outsourced compliance programs and solutions to U.S. and offshore investment advisers. CARS supports clients managing all asset classes including alternative (hedge funds, private equity funds, funds of funds and CPOs) and non-alternative investment vehicles, wealth managers, managed account platforms, mutual funds, broker-dealers and family offices.

CARS is led by Gary Swiman, Principal, and Carmine Angone, Director. These veteran compliance professionals each bring to EisnerAmper more than 25 years of experience in evaluating, implementing and leading compliance, audit, and anti-money laundering departments for some of the world’s largest asset management and broker- dealer firms, with a product mix consisting of hedge funds, private equity funds, mutual funds, broker-dealers and separately managed accounts.

The CARS team develops highly tailored solutions to fit specific client needs.  Among the solutions offered are assessing enterprise regulatory risk, and developing and implementing compliance programs to manage risk within client acceptable levels. They advise on the implementation and on-going support of Dodd-Frank initiatives and provide clients with strategies to comply with the changing regulatory environment.

“Compliance is not a one-size-fits-all approach, and our clients see an enormous amount of value in a program specifically tailored to their complex regulatory issues,” Mr. Swiman said. “Being a part of EisnerAmper allows us to more efficiently serve clients and tap the expertise of our experienced audit and tax professionals.”

Adding to this, Mr. Angone said: “Asset managers and broker-dealers are increasingly global in scope, expanding their business to avoid the market saturation that we are seeing in the U.S. However, this brings with it a number of compliance complexities. Our team excels at working through these issues and ensuring that our clients’ localized products comply with appropriate jurisdictional regulations.”

Mr. Swiman holds a B.B.A in Business Administration from Hofstra University and a J.D. from Fordham Law School.  He is a Certified Fraud Examiner (CFE) and member of the Association of Certified Fraud Examiners (ACFE). He is also a Certified Anti-Money Laundering Specialist (CAMS), and a Chartered Hedge Fund Professional (CHP). He frequently presents on anti-money laundering and forensics topics to professional groups.   He is an adjunct professor in the M.B.A. program at Pace University’s Lubin School of Business.   

Mr. Angone earned his B.A. degree in Economics from Queens College, in New York. His experience includes acting as the intermediary between law firms and clients in the structuring of on- and off-shore funds; as well as interfacing with regulatory bodies and self-regulating organizations (SROs) representing his clients’ positions on compliance procedures, controls, testing and remediation.

EisnerAmper CARS is the latest in a suite of outsourced services offered by EisnerAmper. Others include EisnerAmper Fund Services LLC, and EisnerAmper Outsourced CFO Services.

For more information contact:

Richard Shippee
212.891.8757

Kristen Lewis
215.881.8849

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