Andy is a senior member of our compliance group and is an active participant on our firm’s Compliance Committee. In addition to serving as a chief compliance officer to our clients, Andy works with a wide variety of clients to ensure their compliance program is implemented, maintained and monitored.
Andy has over 20 years of experience in the financial services industry. Prior to joining CCS, Andy served as in-house chief compliance officer for Hatteras Funds. His primary responsibilities included the oversight and administration of the comprehensive compliance program for the advisor, funds and distributor. Prior to that, Andy served as compliance manager for UMB Fund Services, Inc., for which he was responsible for coordinating compliance reporting and supporting fund clients’ obligations. Andy also worked with U.S. Bancorp Fund Services as assistant vice president of mutual fund compliance.
Andy earned his Bachelor of Business Administration in accounting from the University of Notre Dame. He has obtained the following FINRA licenses: Series 24, 62 and 99
During his time away from CCS, Andy enjoys spending time with family, traveling, golfing and cycling. He is also an avid Harley rider and Notre Dame football fanatic.