Allison Fraser Joins Ascendant Compliance Focusing on Compliance Programs for Advisers and Private Funds

SALISBURY, Conn., June 4, 2015 /PRNewswire/ -- Allison K. Fraser, the former head of the Compliance Due Diligence team at Northern Trust Investments, Inc. ("NTI"), has joined the consulting group at Ascendant Compliance Management.  Allison brings her considerable knowledge of creating and implementing effective, cost efficient compliance programs for investment advisers, registered investment companies and private funds to the industry-leading compliance and regulatory services provided by Ascendant.  As a seasoned compliance professional, Allison's experience conducting risk evaluations, preparing for regulatory exams, and drafting policies and procedures will assist Ascendant's clients with staying abreast of regulatory requirements and maintaining a solid compliance program.

While at NTI, Allison oversaw the evolution of the compliance due diligence program for the Multi-Manager Solutions and Outsourced Chief Investment Officers businesses with over 250 sub-advisers and hedge funds.  Allison also served as the Chief Compliance Officer of NTI's two funds of hedge funds registered under the Investment Company Act of 1940.  As a Senior Vice President of NTI Compliance, Allison worked with business units to foster an understanding of compliance policies and assist with making compliance everyone's business.  Allison has spoken frequently on due diligence of investment advisers and effective compliance programs at industry conferences.

Prior to joining NTI, Allison was the Compliance Director at General Motors Asset Management ("GMAM"), an SEC-registered investment adviser and OCC-chartered trust company.  She earned her Bachelor of Science from the University of Vermont.

Ascendant President and CEO, Jon Higgins says, "We are thrilled to welcome Allison to Ascendant.  She brings a depth of knowledge and experience that will benefit our clients tremendously.  It's a win-win for all parties."

About Ascendant:
Ascendant Compliance Management is located in Salisbury, Connecticut, with offices in New York City and San Francisco, California.  Ascendant offers integrated compliance and business solutions for investment advisers, broker-dealers and private fund managers.  For more information on Ascendant's services, such as annual reviews, compliance or IT risk assessments, and preparation of regulatory filings, or for free compliance resources please visit www.ascendantcompliance.com or call 860-435-2255.

About Ascendant Compliance Manager:
Ascendant offers a technology solution, Ascendant Compliance Manager, to manage and analyze compliance and operational risks to a firm and to stay up to date on regulatory requirements and compliance alerts.  The Ascendant Compliance Manager is a complete tool that provides the busy compliance professional with a centralized place to find compliance resources, risk inventories and matrices, to manage risk within their firm and to develop reporting and task management directly within the tool.  For more information about Ascendant Compliance Manager, please visit www.ascendantcompliancemanager.com

About Ascendant Conferences + Education:
Ascendant Compliance Management's Conferences + Education team is dedicated to the advancement of compliance professionals in the investment management industry.  Ascendant's interactive approach recognizes the role of compliance with an organization and considers compliance in light a firm's business model and operations and technology resources.  Ascendant's conferences and educational workshops follow the latest trends in SEC examinations, risk assessments, analytics, cybersecurity, social media networks, compliance automation, ethics and fiduciary responsibilities among other topics.  The goal of the programs is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.  For more information about compliance and educational opportunities, please visit www.ascendantcompliance.com or join Ascendant in Scottsdale, AZ on Sept. 29^th - Oct. 1^st at the fall conference.

CONTACT: Melissa Maleri, 860-596-8127, [email protected]

SOURCE Ascendant Compliance Management

Related Links

http://www.ascendantcompliance.com