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Grace’s professional career spans more than twenty-five years across fund managers and broker-dealers. Grace functioned as a manager, partner, member, and Chief Compliance Officer of both broker-dealers and investment advisors, and acquired extensive expertise in private fund management, trading floor operations,
FINRA/SEC/NFA/CFTC reporting, underwriting and supervisory control procedures. Grace maintains particular familiarity with Dodd-Frank, FSA, MiFid and other foreign regulatory rules while assuring gap analysis between the agencies. Grace possesses comprehensive knowledge of broker-dealer operations, hedge funds, alternative investments, static data management, standards of operation, business start-ups, reorganizations and onshore/offshore structures.
Prior to AFC, Grace was an integral member of select executive teams, serving in various capacities emphasizing management of all hands-on operational aspects of multiple entities. Grace experience also cuts across trading floor decisions and risk management which includes: due diligence and entitlements; setting parameters for orders to control trading floor activity and monitoring risk, daily review of positions, analysis, hedging, exposure, haircuts, shorts versus borrows plus all aspects of currency flow.
Prior to AFC, Grace was a CCO for BCP Securities, LLC. where she supervised five global offices and implemented compliance procedures in accordance with the applicable foreign agencies for branches in Singapore, Spain, and Brazil. Grace also for 20 years was at McMahan Securities and its multiple affiliates performing varied functions, and including part of a start-up team for Centaur Performance Group, LLC (formerly Argent Funds Group, LLC – a 3 billion fund). Prior to McMahan, Grace spent six years in Shearson Lehman Brothers’ as an assistant to a portfolio manager and held a dual role as a muni-syndicate coordinator. Grace is licensed in FINRA Series 7, 24, 79, 99 and 55 and earned a BBA in International Management at Pace University.
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