Yvonne I. Pytlik

Yvonne Pytlik joined ACA in July 2022. As an Outsourced Chief Compliance Officer to registered investment advisers, Yvonne provides compliance consulting services such as developing effective compliance programs and resolving complex regulatory issues.Yvonne has over 30 years of compliance, audit, risk management, and consulting experience working with broker-dealers, investment advisers, and investment companies (mutual funds). Before joining ACA, she served as CCO for numerous firms and held senior positions with Global Compliance Risk Management Corporation, HSBC Asset Management, Virtus Investment Partners, Deutsche Bank Asset Management, and KPMG LLP. Her various duties included establishing compliance policies and compliance monitoring programs under SEC Rules 206(4)-7 and 38(a)-1 for investment advisers and FINRA regulations for broker-dealers to mitigate regulatory risks.Yvonne’s expertise encompasses, among other areas, FINRA regulations, U.S. federal securities laws, the SEC Investment Company Act of 1940 and Investment Advisers Act of 1940, the SEC Acts of 1933 and 1934, ERISA, CFTC rules and derivatives, and other regulatory requirements.Yvonne earned her Bachelor of Science degree in Management and Accounting from the University of Massachusetts and her MBA in Finance from Suffolk University. She is a Certified Public Accountant. She is serving as a Lecturer of Strategic Risk Management with Columbia University, the New York City Risk Management Association’s Board of Trustees, the Mass General Hospital/NWH Advisory Board and served on the executive committees of Suffolk University’s Board of Directors.