Christine Horan, Senior Compliance Consultant
Christine Horan is a Senior Compliance Consultant with ITA Compliance, LLC, with over 20 years of experience in the financial services industry. Christine has expertise in creating and implementing robust compliance programs for federally-registered investment advisers and private equity firms serving both institutional and individual investors.
Early in her career, Christine held a number of positions with a large financial services firm. She was responsible for client relationship management; due diligence reviews of third party vendors; investigations of potential money laundering and fraudulent activity in customers’ accounts; drafting of suspicious activity reports; and coordinating AML and fraud investigations with law enforcement.
As an Assistant Vice President and Compliance Officer at a large mutual fund institution, Christine oversaw the launch of the firm’s 38A-1 compliance program and performed due diligence of various sub-advisors and outside vendors, including providers of pricing services. She also drafted anti-money laundering policies and procedures and conducted enhanced due diligence on high risk accounts as required by the firm’s policies and the USA PATRIOT Act.
Christine held the position of Compliance Officer at large New England based alternative investment firms where she managed various compliance projects. In this capacity, she implemented automated systems to review personal trading; monitored new regulations and drafted compliance policies and procedures such as “pay-to-play”, UK Bribery Act of 2010, and Massachusetts Privacy Regulations; conducted employee compliance training; reviewed marketing materials; updated the firm’s ADV filings; identified compliance risks and conflicts of interest; and performed ongoing testing.
Suffolk University, Boston, MA – M.S., Criminal Justice
St. Anselm College, Manchester, NH – B.A., Liberal Studies