Chris Lombardy is a managing director and Head of U.S. Compliance Consulting at Duff & Phelps. Mr. Lombardy joined Duff & Phelps in January 2015 from Kinetic Partners as a result of Duff & Phelps’ acquisition of Kinetic Partners.
Mr. Lombardy has extensive experience within the investment advisory industry as a lawyer, chief compliance officer, and consultant. Mr. Lombardy works closely with investment advisory and broker dealer clients on numerous matters such formation and structuring, establishing compliance and operations infrastructure, selecting appropriate service providers, identifying and addressing risks and conflicts, performing operational due diligence reviews and preparing for and dealing with regulatory examinations, and performing mock regulatory examinations.
Mr. Lombardy is frequently asked to lecture on panels on matters specific to investment adviser regulations, developing a robust compliance infrastructure, industry best practices, preparing for regulatory examinations and due diligence reviews, investment advisers and directors & officers insurance and errors & omissions insurance.
Mr. Lombardy earned his B.S. in International Finance and Master of Business Administration in Finance from American University, Kogod College of Business and his Juris Doctorate from St. Thomas University School of Law.
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Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.
Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance
Comprehensive support for asset managers registering in the U.S.
Compliance Due Diligence
Regulatory operational due diligence for asset managers.
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