ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels

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  • Compliance

ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs. Some of our new hires include in alphabetical order:  

Brian Applegate 

Brian Applegate joined ACA in June 2021 as a Senior Principal Consultant with ACA’s Investment Adviser Consulting Group. Before ACA, Brian was Chief Compliance Officer and AML Compliance Officer for HighMark Capital Management, a registered investment adviser with $18.2 billion in AUM/AUA delivering customized investment solutions across various asset classes for institutional investors.  Prior to HighMark, Brian worked as a Securities Compliance Examiner with the SEC. There, he performed examinations of registered investment advisors, investment companies, and broker-dealers. Brian has also been Chief Compliance Officer and AML Compliance Officer for ING Direct Investing/Sharebuilder Advisors and prior to that, was the Chief Compliance Officer for an institutional, self-clearing broker-dealer subsidiary of JP Morgan Chase.  

Brian earned his Bachelor of Arts degree in English from the University of Washington and his MBA from Western Governors University. He is also a Certified AML Specialist (CAMS), a Certified Regulatory and Compliance Professional (CRCP), and an Investment Adviser Certified Compliance Professional (IACCP). 

Monika Gupta  

Monika Gupta rejoined ACA in July 2021 after being a member of its early growth stage team in the mid-2000s.  Monika previously served as general counsel and chief compliance officer of a SEC-registered investment adviser managing $2 billion in assets on behalf of hedge funds and private equity funds across a variety of investment strategies, including equities, real estate, and multi-strategy, in emerging markets.  Monika started her career in the investment management group of Ropes & Gray LLP in Boston, where her practice focused on the structuring and formation of hedge funds, and advising those funds and their sponsors on federal and state securities laws and regulatory compliance matters on an ongoing basis. 

While in law school, Monika served as a legal intern in the Washington, D.C. office of U.S. Senator Hillary Rodham Clinton during 9/11.  She assisted former Sen. Clinton and her chief legal counsel with various projects in the immediate aftermath, such as providing support to first responders, helping arrange the transport of special demolition equipment to New York City, and drafting proposed amendments to the draft USA PATRIOT Act.  Monika earned her J.D. from Cornell Law School, where she was a member of the Cornell Law Review, and her B.S. in Finance from the University of Connecticut. 

John Holzwarth 

John Holzwarth joined ACA in June 2021 as a Senior Principal Consultant with ACA’s Regulatory Compliance practice. He brings over a decade of broad experience in finance and consulting with SEC and FINRA registrants to ACA.  Prior to ACA, John served as Vice President of Regulatory Consulting at Kroll, where he focused on implementing best-in-class compliance programs, conducting mock regulatory examinations, and assisting with SEC registrations for private funds.  

Before Kroll, John served as Chief Compliance Officer and Director of Perkins Fund Marketing, a leading introducing broker-dealer in the alternative investment market, where he oversaw the firm’s private placement and marketing business for emerging private funds. John is a Chartered Alternative Investment Analyst (CAIA) and holds a Master’s in Law from Fordham Law School with a focus in securities regulation and compliance. Additionally, he holds the FINRA Series 7, 24, 31, 50, 51, and 63 licenses. John completed his undergraduate education with distinction at the University of Maine, earning degrees in Economics and Spanish Literature. 

Jennifer Rodriguez  

Jennifer Rodriguez joined ACA in August 2021 as a Consultant with ACA’s Investment Adviser division. In her career, Jennifer has managed compliance programs for mutual funds, exchange-traded funds, and separately managed accounts; managed due diligence with turn-key platforms, registered investment advisers, and broker-dealers; reviewed proprietary software related to adviser education; and managed the implementation of a hedge fund. Before ACA, Jennifer worked with Toews Corporation where she was their Chief Compliance Officer and General Counsel. Prior to that, she served as an associate with the law firm Pappas & Richardson, where she conducted research on securities and other matters, managed the litigation calendar and client relationships, represented clients in court, and drafted motions and pleadings. She has spoken on securities-related matters at events held by the NJ and Philadelphia Bar Associations. 

Jennifer earned her Bachelor of Arts degree in Economics from the University of Houston and her law degree from the Temple University Beasley School of Law. She is a Certified Anti-Money Laundering Specialist (CAMS), holds the Series 65 license, and is licensed to practice law in New York, New Jersey, and Pennsylvania.

Glenn Skreppen 

Glenn Skreppen is a Principal Consultant for the Investment Adviser division and has worked in the securities industry for over twenty-four years. Glenn has extensive experiences in broker-dealer, investment advisor, and securities issuer regulatory compliance.   

Prior to ACA, Glenn served as the Director of the Bureau of Securities Compliance and Examinations for the Pennsylvania Department of Banking and Securities. In his official capacity, he managed enforcement, securities investigations, broker-dealer examinations, and investment advisor examinations. He has presented as an industry expert at conferences held by the SEC, FINRA, NASAA, and the Pennsylvania Department of Banking and Securities, where he has spoken on securities topics including regulatory examinations, securities investigations, private placements, and anti-money laundering. Glenn also served on the NASAA Enforcement Training Project Group, where he helped plan enforcement training conferences for NASAA members.    

Glenn holds the designations of Certified Fraud Examiner (CFE) and Certified Anti-Money Laundering Specialist (CAMS).  He received a Bachelor of Science in Accounting from Indiana State University in 1991, and an MBA with a finance concentration in 1994 from the Joseph M. Katz Graduate School of Business at the University of Pittsburgh. 

Charles “Chas” Spiros 

Charles “Chas” Spiros joined ACA in July 2021 as a Principal Consultant with ACA’s Regulatory Compliance Group. Chas brings his diverse experience to ACA from working in regulatory enforcement at FINRA and in-house with registered investment advisers focusing on private markets and outsourced chief investment officer (OCIO) services. 

Before ACA, Chas held positions with the Strategic Investment Group, Greenwich Advisor Compliance Services, The Carlyle Group, and FINRA. In these roles, he focused on registered investment adviser and private equity compliance program management, consulting, registration, and ongoing compliance services, and (at FINRA) market manipulation. 

Chas earned his Bachelor of Science degree in Finance from the University of Maryland and his MBA in Organizational Leadership from Virginia Tech. 

Louis Sweeney 

Louis Sweeney is a Principal Consultant within ACA’s Regulatory Compliance practice and member of the private markets practice group. Louis has a decade of regulatory and compliance experience acquired from a combination of working in-house, in a compliance consulting capacity and for a financial regulatory organization.  

Prior to ACA, Louis served as a Senior Vice President of Regulatory Consulting at Kroll, where he successfully implemented and maintained comprehensive regulatory and operational compliance programs, conducted mock regulatory examinations, and prepared FINRA and SEC registrations for a wide variety of clients, including various types of alternative investment fund managers. Before Kroll, Louis served as a Sales Practice Examiner for the Financial Industry Regulatory Authority (FINRA).  

Louis’ breadth of knowledge across the alternatives space brings a nuanced understanding of operational diligence and regulatory analysis that will further support ACA’s investment adviser compliance consulting practice in developing best-practice compliance programs for its clients. Additionally, Louis completed his undergraduate education at Saint Joseph’s University, earning a degree in finance. 

Meet more of our recent new hires here

About ACA Group  

ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.  

Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.  

Learn more about our compliance consulting services or contact our team here to learn more.