Salvatore Faia, JD, CPA, CFE.
Founder & CEO

Education:
University of Pennsylvania Law School, Juris Doctorate
(graduated with Order of Coif Honors)

La Salle University,  Bachelor of Science, Accounting

Experience:
Salvatore is the Founder and President of Vigilant Compliance, a full-service compliance firm supporting the regulatory needs of a diversified range of investment management clients. He is an Investment Management Attorney and has extensive experience with Mutual Funds, Investment Advisers, Hedge Funds, Broker Dealers, and the investment management industry.

An experienced 1940 Act and Advisers Act attorney, he is also a Certified Public Accountant, a Certified Fraud Examiner, AICPA Certified in both International Financial Accounting Standards (IFRS) and Enterprise Risk Management and Internal Controls (COSO).

Liam P. Clarke, MA, CPA
Vice President, Operations

Education:
Liam graduated from The Pennsylvania State University with a Masters of Accounting, Bachelor of Science in Finance, Bachelor of Science in Accounting, and Minor in Information Systems Management.

Experience: Liam has experience leading clients in compliance due diligence, regulatory filings, and a variety of solutions for Exchange Traded Funds (ETFs), Mutual Funds, Registered Investment Advisors, Private Equity, Exchange Funds, and Broker-Dealers. Liam leads inceptions, launches, and oversees the continuity of Exchange Traded Funds.  Liam also serves as Director and General Securities Principal for a Broker Dealer.  Liam leads as the Vice President of an Advisor and Vice President of a Distributor.

Liam gained valuable industry experience at PricewaterhouseCoopers LLP (PwC) in Manhattan, NY. Liam worked in the Audit & Attestation Practice in the Investment Management Industry and Banking & Capital Markets Industry on PwC’s largest client, JPMorgan Chase.  Specifically, Liam split his time between JPMorgan Chase’s Corporate & Investment Bank and Investment Management Practice.

Liam holds a Certified Public Accountant (CPA) license, SIE (Securities Industry Essentials) license, Series 7 (General Securities Representative) license, and Series 24 (General Securities Principal) license.

Ryan Hurley, IACCP
Chief Compliance Officer

Education:
BS from Saint Joseph’s University
(graduated with Cum Laude Honors)

Experience:

Ryan serves as a Compliance Officer for SEC Registered Investment Advisers. Ryan has experience in the design, implementation, on-going risk assessment, testing, monitoring and review of Compliance Programs for SEC-Registered Investment Advisers, Exempt Reporting Advisers, Mutual Funds, and Private Equity Funds with respect to Firm Policies and Federal Securities Laws. Ryan’s client base has ranged from start-ups to established firms with Billions in AUM.

Ryan is an Investment Adviser Certified Compliance Professional ® (IACCP ®). He has a Series 7 (General Securities Representative) license. Ryan has also received a Bloomberg BMC certification.