- Compliance & Regulatory Services
- Compliance Program Development & Review
- Mock SEC Exams
- Compliance Risk Assessments & Annual Reviews
- CCO Outsourcing
- ERISA Compliance
CREDENTIALS / EDUCATION
- Penn State University: BS, Mechanical Engineering
- Albany Law School: JD
- Cornell University: MBA
Venkat Rao is a Director in the Compliance and Regulatory Services Practice. He has nearly 15 years of experience working with hedge funds, private equity funds, commodity pool operators, registered investment advisors, broker-dealers, investment banks, and insurance companies.
Venkat provides value added solutions to enhance compliance programs, such as creating compliance manuals, performing mock regulatory examinations, and conducting risk assessments and annual reviews. He also advises clients on the latest regulatory developments from the SEC and CFTC.
Venkat has worked extensively with various members of large and small organizations in addressing regulatory needs. He has overseen compliance departments, and created, developed and tested policies and procedures in advance of and preparation for regulatory exams.
Prior to joining the firm, Venkat was a Chief Compliance Officer for broker-dealers and investment advisors of hedge funds and private equity funds. Venkat headed the examination program for registered investment advisors and broker-dealers for a global professional services firm. In addition, he served as a risk and regulatory consultant in a Big Four accounting firm’s Advisory Services Practice, and advised many financial institutions of various sizes.