As Chief Compliance Officer (“CCO”), Brian is responsible for leading the internal processes for promoting and ensuring NXT Capital’s compliance with laws, regulations, and company policies. He is also responsible for implementing NXT Capital’s compliance policies, including its Code of Ethics, and making sure they are communicated and trained upon across the company.
Brian has over 30 years of compliance experience, much of that acting in a CCO capacity. Prior to joining NXT Capital, he held the CCO role at Intrinsic Edge Capital Management, LLC, Institutional Capital LLC and Mesirow Financial. Brian also spent nearly five years at Northern Trust where he managed the firm’s Investment Management and Treasury audit program.
Brian earned a B.S. in Marketing from Eastern Illinois University.