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Carl Rizzo
InvestorChief Compliance Officer at Structural Capital
Huntersville, North Carolina, United States
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About
Carl Rizzo is Director at Alaric Compliance Services, LLC, providing consulting and in-house counsel to SEC-registered asset managers on regulatory compliance and operational matters. He has served as Chief Compliance Officer for exchange-listed business development companies, a global institutional fixed income manager with $110 billion in assets under management, and a special situations private equity firm with $1.4 billion in assets under management. His experience encompasses compliance program design and implementation across publicly-offered and privately-offered investment products, including mutual funds, hedge funds, private equity funds, and separately managed accounts.
Experience
- Alaric Compliance Services, LLCDirectorcurrent2011 — present
- Steelbridge Compliance LLCVice President2010 — 2011
- Self-employedIndependent investment management regulatory compliance consultant2009 — 2010
- ACA Compliance GroupSenior Principal Consultant2006 — 2009
- Bank of AmericaAssistant General Counsel2001 — 2005
- U.S. Securities and Exchange CommissionSenior Counsel2000 — 2001
- Rodney Square Management CorporationVP; Manager -- Mutual fund Administration Dept.1996 — 1999
- Aid Association for LutheransAssistant General Counsel1995 — 1996
- United Services Automobile AssociationSenior Associate Counsel1994 — 1995
- U.S. Securities and Exchange CommissionSpecial Counsel; Senior Counsel1987 — 1994
Colleagues at Structural Capital
Frequently asked questions
- Who is Carl Rizzo?
- Carl Rizzo is Director at Alaric Compliance Services, LLC, providing consulting and in-house counsel to SEC-registered asset managers on regulatory compliance and operational matters. He has served as Chief Compliance Officer for exchange-listed business development companies, a global institutional fixed income manager with $110 billion in assets under management, and a special situations private equity firm with $1.4 billion in assets under management. His experience encompasses compliance program design and implementation across publicly-offered and privately-offered investment products, including mutual funds, hedge funds, private equity funds, and separately managed accounts.
- Where does Carl Rizzo work?
- Carl Rizzo is Chief Compliance Officer at Structural Capital.
- Where did Carl Rizzo go to school?
- Carl Rizzo studied at Georgetown Law (LL.M -- Securities Regulation); University of Richmond School of Law (JD); Davidson College (BA, History).
Same school
Also attended Georgetown Law150
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Also attended University of Richmond School of Law4
Also attended Davidson College94
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Shared employers
Also worked at Alaric Compliance Services, LLC1
Also worked at ACA Compliance Group13
+ 7 more
Also worked at Bank of America523
+ 517 more
Also worked at U.S. Securities and Exchange Commission91
+ 85 more