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
Education
- Babson F.W. Olin Graduate School of BusinessMaster of Business Administration (MBA), Entrepreneurship/Entrepreneurial Studies
- Isenberg School of Management, UMass AmherstB.S.B.A, Sports Marketing
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.
Same school
Also attended Babson F.W. Olin Graduate School of Business71
Jeff DoranInvestor at Spark CapitalPierre-Eric LeiboviciInvestor at DaphniKevin MunnellyInvestor at Third Rock VenturesBrian DixonManaging Partner at Kapor CapitalMurat BicerGeneral Partner at CRV (Charles River Ventures)Jess LynchGeneral Partner at FoundersEdge
+ 65 more
Also attended Isenberg School of Management, UMass Amherst42
Paul ConwayInvestor at Spark CapitalKelly O'KaneInvestor at IVP (Institutional Venture Partners)Dr. Shadi BatahResearch / Founder Relations at Transform Capital ManagementHannah DitmarsAnalyst at Volition CapitalAllyson GallagherAccounting Manager at Volition CapitalAshley HardingOperations Specialist at Volition Capital
+ 36 more
Shared employers
Also worked at FNZ Group4
Also worked at State Street65
David PhuController at Felicis VenturesDennisDirector of Trading at Pantera CapitalConnor SheaAssistant Controller at Sapphire VenturesTimInvestor at FortySix Venture CapitalCameron BaharVenture Partner at Think+ Ventures Management, LlcPaulina SzyzdekPrincipal at E12 Venture Capital, Llc
+ 59 more
Also worked at Financial Industry Regulatory Authority (FINRA)9
Floyd H. GriffithManaging Partner at Little Bristol PartnersMark CasadyGeneral Partner and Co-Founder at Vestigo VenturesJohn ParmigianiCEO & Fund Manager at Disruptive VenturesMitch BrooksFounding Managing Partner at High Street Equity PartnersBrendon CaioneDeputy General Counsel at B Capital GroupEric NollBoard Member at AlphaPoint
+ 3 more
Also worked at Fidelity Investment107
Peter SaperstonePartner at GreycroftAlejandraChief of Staff, Investment Team at Hummingbird VenturesHelen ClementInvestor at IVP (Institutional Venture Partners)Adiam BerhaneAccounting Manager at QED InvestorsAubrie PaganoGeneral Partner, Managing Member at Corigin VenturesJoanna Skoler GilmanChief Marketing and Communications Officer at .406 Ventures
+ 101 more
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