Tyler advises investment advisers and broker-dealers on daily operational matters in order to comply with U.S. regulatory requirements.
His experience includes handling regulatory exams, surveillance monitoring, development of supervisory policies and procedures, trade reporting, advising clients on compliance for broker-dealers and investment advisers, regulatory due diligence and vendor KYC.
Tyler previously was a Fund Accountant at Janus Capital Group preparing and verify daily/monthly NAVs and resolving any pricing discrepancies. He’s had several other accounting and compliance roles previously at Janus and Robinhood.
Tyler graduated from the University of Denver with a major in Finance.
