Navigating Pay-to-Play regulations can be challenging, and with the added risks during an election year, it's important to fully understand the rules, their impact, and what compliance experts are doing to ensure full compliance.
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Director, Vigilant Compliance
Bernadette Murphy is a Director at Vigilant Compliance. Prior to joining Vigilant Compliance in 2018, Bernadette was the Chief Compliance Officer for Dialectic Capital Management and was later named Director of Compliance and Operations for B. Riley Capital Management after its acquisition of the Dialectic funds in 2017. Bernadette’s experience includes Hedge Funds, Private Equity Funds, Real Estate Funds, Mutual Funds, and Distressed Lending Funds. Prior to her time at Dialectic, Bernadette worked for Marsh and McLennan Companies and Sony Music Entertainment.
In her role at Vigilant, Bernadette develops, tests, and monitors Compliance Programs for Investment Advisers, Registered Investment Companies, ETFs, Closed and Open-End Mutual Funds, Real Estate Funds, Hedge Funds, and Private Equity Funds. She is responsible for conducting compliance reviews of Advisers, Service Providers, 38a-1 Compliance Program Reviews, and 206(4)-7 Annual Compliance Reviews of Registered Investment Advisers.
Bernadette is a six-year veteran of the United States Navy where she specialized in meteorology and oceanography. She graduated cum laude with a Bachelor of Arts degree from Columbia University and she graduated cum laude from Fordham University School of Law with a Master of Studies in Law in Corporate Compliance.