FrontLine Compliance Expands Consulting Staff

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Firm Adds Compliance Industry Veteran

FrontLine Compliance, LLC has further strengthened its consulting team in response to the continued growth of the firm’s offerings of regulatory compliance advising and support for SEC registered investment advisers and private funds. Mike Spero, a former Chief Compliance Officer, recently joined FrontLine Compliance as Senior Vice President to handle clients’ compliance requirements.

Mr. Spero specializes in complex regulatory compliance matters for investment advisers and private funds. With over seventeen years of compliance specific experience, he has excelled in senior compliance roles guiding money managers on the implementation and oversight of an effective compliance program. Mr. Spero most recently served as Chief Compliance Officer for Tiger Legatus Capital Management, a New York City based hedge fund manager. Prior to Tiger Legatus, he was Vice President in the compliance department at New Mountain Capital, a multi-billion-dollar private equity, hedge fund, and credit investment adviser. He was also previously Vice President in compliance at JPMorgan Asset Management in both New York and London.

“Mike Spero brings to the table what investment firms seek but increasingly cannot find, a seasoned pro in the investment management industry that can accurately advise on compliance matters,” Amy Lynch, founder and president of FrontLine Compliance, said. “Coming from the CCO hot seat himself, Mike will undoubtably make a smooth transition to consulting while he clearly has demonstrated a work ethic that is well-suited for the type of high level consulting services offered by FrontLine.”

Since 2006, FrontLine Compliance has shown top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. Our consulting services employ a deep-dive, customized approach that is rigorous and irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. We have a 10-year experience prerequisite for our consultants - they’re former SEC examiners, FINRA investigators and CCOs fluent in Investment Adviser and Investment Company ’40 Act rules, FINRA/SEC regs and compliance technology. Visit http://www.frontlinecompliance.com to see how our first-hand knowledge of compliance rules and regulations become strategy-driven solutions helping you achieve your compliance and business goals.

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Amy Lynch
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