Where did Alex W. Delpleche go to school?

Alex W. Delpleche studied at Babson F.W. Olin Graduate School of Business (Master of Business Administration (MBA), Entrepreneurship/Entrepreneurial Studies); Isenberg School of Management, UMass Amherst (B.S.B.A, Sports Marketing).

Alex W. Delpleche

Investor

Chief Compliance Officer at Asana Partners

Charlotte Metro

About

Alex W. Delpleche is Chief Compliance Officer at Asana Partners, where he leads the firm's compliance program and works with executive leadership on governance and regulatory readiness for a private funds platform. With over 20 years of experience in compliance and regulatory risk across investment advisers, broker-dealers, trust companies, and global financial institutions, he has built and scaled compliance programs in multi-entity environments spanning private funds, real estate, and fintech. His expertise covers U.S. and Canadian regulatory frameworks, including SEC, FINRA, and IIROC requirements, and he has held senior compliance leadership roles including Deputy Chief Compliance Officer at a global platform and involvement in establishing a self-clearing broker-dealer.

Experience

Asana PartnersChief Compliance Officercurrent2026 — presentCharlotte, NC
FNZ GroupDeputy Chief Compliance Officer2024 — 2026Charlotte, NC
NJCAABoard Membercurrent2024 — presentCharlotte, North Carolina, United States
TenacityBoard Membercurrent2021 — presentBoston, Massachusetts, United States
State StreetManaging Director, Business Strategy & Integration2021 — 2024
State StreetVice President, Strategic Integration, Risk & Compliance At Charles River Development2018 — 2021Boston, Massachusetts
State StreetVice President, Regulatory Compliance at State Street Global Markets2017 — 2018Boston, Massachusetts
State StreetGlobal AML Manager at State Street Global Exchange2016 — 2017Boston, Massachusetts
Financial Industry Regulatory Authority (FINRA)Principal Examiner2010 — 2016
Fidelity InvestmentSenior Compliance Associate2007 — 2010
Fidelity InvestmentCredit Risk Analyst2005 — 2007
Fidelity InvestmentConversion Analyst2004 — 2005

Skills & more

U.S. Securities and Exchange Commission (SEC)Responsible AIAI GovernanceGenerative AIFINRA17Chief Compliance Officer (CCO)Regulatory Risk ManagementGovernance, Risk & Compliance (GRC)Broker-Dealer ComplianceTrust Company RegulationRegulatory Change ManagementFINRA Compliance

+12 more

3 Lines of Defense (3LOD)Enterprise Risk ManagementIssues ManagementRegulatory ExaminationsAML / KYCCompliance Program DevelopmentResponsible AI / AI Risk ControlsModel Risk Management (Conceptual)Emerging Technology RiskArtificial Intelligence (AI)SecuritiesData Governance

Leveraging AI for Governance, Risk, and Compliance — LinkedIn
Introducing Generative AI into Your Organization: A Technical Leadership Framework — LinkedIn
Building an AI Council That Drives GenAI Adoption and Innovation — LinkedIn
Introduction to AI Governance — LinkedIn
Management Accelerator Program — McKinsey & Company
Series 7 License — FINRA

From Alex's professional profile.

Colleagues at Asana Partners

Amanda M. Guevara

Director – Client Relations & Events at Asana Partners

Angelica S. Merg

Director – Marketing at Asana Partners

Ashley D. McDonald

Senior Director – Development at Asana Partners

B. Parks Brown

Director – Dispositions at Asana Partners

Bobbi R. Frieda

Senior Director – People at Asana Partners

Brad M. Kantrowitz

Managing Director – Investments at Asana Partners

Bri N. Jacobson

Senior Director – Investments at Asana Partners

Brian M. McWeeney

Managing Director – Investments at Asana Partners

Frequently asked questions

Who is Alex W. Delpleche?: Alex W. Delpleche is Chief Compliance Officer at Asana Partners, where he leads the firm's compliance program and works with executive leadership on governance and regulatory readiness for a private funds platform. With over 20 years of experience in compliance and regulatory risk across investment advisers, broker-dealers, trust companies, and global financial institutions, he has built and scaled compliance programs in multi-entity environments spanning private funds, real estate, and fintech. His expertise covers U.S. and Canadian regulatory frameworks, including SEC, FINRA, and IIROC requirements, and he has held senior compliance leadership roles including Deputy Chief Compliance Officer at a global platform and involvement in establishing a self-clearing broker-dealer.
Where does Alex W. Delpleche work?: Alex W. Delpleche is Chief Compliance Officer at Asana Partners.
Where did Alex W. Delpleche go to school?: Alex W. Delpleche studied at Babson F.W. Olin Graduate School of Business (Master of Business Administration (MBA), Entrepreneurship/Entrepreneurial Studies); Isenberg School of Management, UMass Amherst (B.S.B.A, Sports Marketing).

Same school

Also attended Babson F.W. Olin Graduate School of Business79

Jeff DoranInvestor at Spark Capital Pierre-Eric LeiboviciInvestor at Daphni Kevin MunnellyInvestor at Third Rock Ventures Brian DixonManaging Partner at Kapor Capital Murat BicerGeneral Partner at CRV (Charles River Ventures)Jess LynchGeneral Partner at FoundersEdge

+ 73 more

Also attended Isenberg School of Management, UMass Amherst44

Kelly O'KaneInvestor at IVP (Institutional Venture Partners)Dr. Shadi BatahResearch / Founder Relations at Transform Capital Management Hannah DitmarsAnalyst at Volition Capital Allyson GallagherAccounting Manager at Volition Capital Ashley HardingOperations Specialist at Volition Capital Aymbre PaigeAssociate / Fellow / LP at Mendoza Ventures

+ 38 more

Shared employers

Also worked at FNZ Group5

David HopkinsVenture Partner at SixThirty Ventures Ben KirrageInvestment Manager at ECI Partners Ross NaylerResearch Analyst at Activant Capital Lucia RigoInvestor at Generation Investment Management Maliz BeamsInvestor at Vestigo Ventures

Also worked at State Street80

David PhuController at Felicis Ventures DennisDirector of Trading at Pantera Capital Connor SheaAssistant Controller at Sapphire Ventures TimInvestor at FortySix Venture Capital Cameron BaharVenture Partner at Think+ Ventures Management, Llc Paulina SzyzdekPrincipal at E12 Venture Capital, Llc

+ 74 more

Also worked at Financial Industry Regulatory Authority (FINRA)13

Floyd H. GriffithManaging Partner at Little Bristol Partners Mark CasadyGeneral Partner and Co-Founder at Vestigo Ventures John ParmigianiCEO & Fund Manager at Disruptive Ventures Mitch BrooksFounding Managing Partner at High Street Equity Partners Brendon CaioneDeputy General Counsel at B Capital Group Patricia HatzfeldChief Compliance Officer at Ritholtz Wealth Management

+ 7 more

Also worked at Fidelity Investment133

Peter SaperstonePartner at Greycroft Rob KniazInvestor at Hoxton Ventures Helen ClementInvestor at IVP (Institutional Venture Partners)Adiam BerhaneAccounting Manager at QED Investors Aubrie PaganoGeneral Partner, Managing Member at Corigin Ventures Joanna Skoler GilmanChief Marketing and Communications Officer at .406 Ventures

+ 127 more