Grassi & Co. continues to invest in the Compliance and Regulatory Consulting space and is proud to announce the affiliation of COMPASS-Regulatory and Compliance Advisers—led by Gary Swiman as its President, and Larry Wagner, its Managing Director. The practice will be based out of Grassi & Co.'s Manhattan office.
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Gary Swiman, President, COMPASS Regulatory and Compliance Advisers (Photo: Business Wire)
Prior to joining Grassi & Co., Gary has held CCO and senior regulatory positions at major broker-dealers as well as large international asset managers. Gary also served as a partner and head of regulatory and compliance services at two top 30 accounting firms. Gary has more than 25 years of experience implementing compliance programs for hedge funds, private equity funds, registered investment advisers, investment banks and broker-dealers. He works with financial industry clients to navigate evolving regulatory requirements, and works closely with clients, law firms and regulators on high level enforcement matters. A Certified Public Accountant, Gary graduated Cum Laude with a Juris Doctorate from Fordham Law School. Gary also holds CAMS, CFF and CFE licenses.
Larry Wagner is a seasoned executive with 30+ years of achievement in small to large-sized businesses, capital markets, investment banking, hedge funds, private equity and alternative asset management industries. As an experienced CFO, Larry gained a unique perspective of finance having spent significant time in both private and multi-national public entities.
Larry was the CFO of Nomura Holdings America (Investment Bank, Private Equity and Asset Management Companies) and the CFO of ING Financial Services LLC and earned his B.S. in Accounting from the State University of New York at Albany. Larry holds a CPA and CAMS license.
"As regulatory and compliance focus on the financial services industry continues to intensify, we are excited to bring an established compliance and regulatory practice to Grassi & Co. and be able to offer these value added services to our clients," said Louis C. Grassi, Managing Partner and CEO of Grassi & Co. "Gary and Larry's approach is unique in providing practical subject matter expertise tailored to each client's industry and business model. This approach results in meeting the client's regulatory objectives at a fair price without disrupting the client's business initiatives."
Both professionals have been widely quoted and looked upon as experts in such publications as the Wall Street Journal and Financial Times.
Among other financial institutions the team serves broker dealers, banks, investment advisers and investment companies. The team advises financial institutions on regulatory and compliance matters, implementing compliance best practices, compliance program development, policy and procedure revision, forensic testing and monitoring, on-site training, governance processes and reporting, investment company regulations, banking regulations, Broker-dealer and Investment Adviser registrations, anti-money laundering policies, procedures and enforcement remediation and enforcement legal support. The team has successfully negotiated settlements and changed the direction of regulatory examinations conducted by the SEC and FINRA, and other Federal and State regulators.
About Grassi & Co.: Grassi & Co., the 70th largest firm in the U.S., is a premier professional service organization specializing in accounting, auditing, tax, technology, and business consulting services. Grassi & Co. has offices in Manhattan, Long Island and Rockland County, NY as well as internationally through its association with Moore Stephens International. Grassi & Co. specializes in professional services for the Not-for-Profit, Construction, Architecture & Engineering, Financial Services, Life Sciences, Manufacturing & Distribution, Retail, Technology, Media & Telecommunication, Transportation, Energy & Natural Resources, and Healthcare industries, among others.
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