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J.P. Wilson (CEO)

Like his staff, J.P. Wilson brings a unique blend of talents gleaned from his deep & broad background and experience as both a regulator and senior Compliance and in-house Legal Officer at, among others, institutional firms. A former SEC Staff Attorney with over 20 years experience as General Counsel and Chief Compliance Officer at major brokerages, he has successfully lead GCCG on assignments with both U.S. and foreign-based institutional brokerages and investment advisers/asset managers to help minimize exposure to regulatory, reputational, market and related risks- without unnecessarily burdening the business unit(s) involved. Indeed, the advisory & related services GCCG has on offer include a “blended” compliance staff aided by “spot on” IT automated systems.


Alfred Curtis (COO)

With well over a decade of compliance technology experience as the Vice-President for Compliance Applications at Nomura Securities (US), Alfred Curtis is uniquely skilled in, among other things, helping design, develop and ensure effective implementation of enterprise compliance software solutions designed to meet the increasingly demanding local/global regulatory requirements. Indeed, as a former senior IT Officer who liaised with the Compliance, Legal and Risk Depts. in New York, London and Tokyo at this major global Japanese financial firm, Mr. Curtis is well-positioned to “speak Compliance” when providing practical advice and general support as to e-surveillance, archiving and privacy, as well as anti-theft and general data protection mandates.

 

At the same time, he fully embraces GCCG’s philosophy that, to help hedge funds/private equity firms, banks and others on both sides of the Pond in the financial services industry minimize potential regulatory risk exposure  by showing why “good compliance is good business”, it is critical for a global consultancy to fundamentally understand a client’s business and national culture.

 

In the end, being so keenly aware of the impact of such subtle business and geographic cultural differences, together with his background/experience, Mr. Curtis is well-positioned to appreciate how, as part of a holistic, comprehensive internal controls which “races to the top”, automated solutions will enable institutional/wholesale investors and firms in the West begin or expand operations with confidence in the Far East (and vice-versa). Among other things, this allows Mr. Curtis’ deep knowledge of “tailored” Interactive SDLC processes which he introduced at Nomura to ensure, per the firm’s tolerance/appetite for regulatory risk, that the firm avoids civil/administrative fines and criminal sanctions for insider dealing, fraud/other market abuse, trading, money laundering, bribery, corruption, etc., as well as the potential loss of competitiveness due to bad press/adverse media which might release market forces resulting well beforehand in the demise of the firm.


Hiam Arfa (Managing Director)

Hiam brings with him 15 years of compliance experience working for both “buy side” and “sell side” firms. He has provided compliance support to registered investment advisers, registered investment companies, hedge funds, private equity funds, bank commingled funds, “wrap fee” programs, broker-dealers and private client/wealth management services. Hiam has worked at such firms as Mitchell Hutchins Asset Management JPMorgan Asset Management, Bear Stearns Asset Management, Gruntal & Co. and U.S. Trust, where he served as Senior Vice President and Chief Compliance Officer for four RIAs and registered alternative investment funds.

His professional experience includes developing compliance and supervisory programs; analysis of new regulations and their impact on business practices; identifying and mitigating regulatory risk; business continuity planning; and transition management during mergers. Acting as CCO and other senior compliance positions, he reported directly to fund boards, senior management and oversight committees. Hiam also managed responses to regulatory inquiries and examinations and has hands-on experience with regulatory filings. In addition, he designed front-end control procedures; back-end exception reports; established & maintained continuing education programs; overseen trading practices; conducted sales practices reviews; and managed and trained compliance staff.







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