Chris, a Director at Chenery Compliance Group, provides regulatory oversight for BLB &B Advisors LLC. He has 13 years of experience as a Chief Compliance Officer for various entities. He recently served as Chief Compliance Officer for LGL Partners and Forbes Family Trust, multi-family offices with approximately $4.2B in assets under management. Additionally, Chris was responsible for overseeing private funds compliance for Bala Capital Group, an affiliate of LGL and FFT. As the compliance leader, his role included surveillance, testing, audit, regulatory filings, code of ethics, personal trading, and training.
Chris previously worked for BNY Mellon – Lockwood Advisors where he conducted due diligence on participating managers for Lockwood’s separately managed accounts platform. These functions included initial review and ongoing compliance assessment. Chris also served as CCO & FinOp responsible for the startup of Aberdeen Fund Distributors, a $4.1B lift-out from Nationwide. Prior to Aberdeen, Chris served as CCO & FinOp for Investorforce Securities, a FINRA registered Broker Dealer.
Mr. Brown has successfully led the compliance functions for 6 years for FINRA-regulated entities and 7 years for SEC-regulated entities. He has over 25 years of experience in the investment management industry and is a graduate of Denison University.