ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys

At ACA Group, we are committed to meeting the needs of our clients. We have a deep bench of experienced professionals with practical and first-hand knowledge of the issues our clients face. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.

New joiners include:

• Roseanne Harford (Director of Thought Leadership – Regulatory Compliance) – Roseanne has over 30 years of experience in the financial services industry, as a lawyer, regulator, and regulatory consultant. Roseanne joins ACA from Guzman Advisory Partners, a boutique law firm serving traditional and alternative investment managers and family offices, where she was the managing partner. Previously, Roseanne was a senior consultant at Patomak Global Partners and director of compliance for Mitchell Hutchins Asset Management, the asset management division of PaineWebber. Roseanne has also served in policy roles at the SEC Division of Investment Management, the UK Financial Conduct Authority, and the Committee of European Securities Regulators. 
• Dahlia D. Black (Senior Principal Consultant) – Dahlia has over 20 years of experience in the asset management industry where she focused on regulatory compliance and oversight of registered investment advisers serving as advisers and sub-advisers to registered investment companies and separately managed accounts. Her skills include developing and managing compliance programs, identifying and mitigating risk, training, and client relationship management. She joins ACA from Cardinal Capital Management where she served as Chief Compliance Officer (CCO). Prior to Cardinal, she held various compliance positions with Northern Trust, Legg Mason and GE Asset Management. She previously held FINRA Series 7 and 63 licenses.
• Dina Clements (Senior Principal Consultant) – Prior to joining ACA, Dina served as the CCO and Senior Legal Counsel at Rothschild & Co Asset Management US, a domestic and international equity and fixed income adviser to institutional and high net worth clients, and private and mutual funds. Prior to Rothschild, Dina was the CCO and Deputy General Counsel at Atlantic Asset Management, a fixed income adviser. Prior to Atlantic, she was a Senior Legal Counsel at Fidelity Investments and a senior associate at Coudert Brothers and Goodwin Procter.
• Andrea Vadas Evancho (Senior Principal Consultant – Broker-Dealer) – With over 25 years of expertise in compliance and finance, Andrea brings a wealth of experience to ACA. Previously, she held the role of Senior Vice President in BNY Mellon's Regulatory Frameworks team within the Enterprise Chief Control Office. Prior to her tenure at BNY Mellon, Andrea served as both CCO and Chief Financial Officer (CFO) for a small full-service broker-dealer. In this capacity, she oversaw all aspects of the firm's compliance, management, and operations, including the development of Written Supervisory Procedures, Anti-Money Laundering (AML) Program, and Continuing Education Program. Her extensive background includes proficient management of regulatory examinations and effective engagement with regulatory bodies. Andrea holds several FINRA licenses, including the 7, 24, 27, 65, 63, 14, and 99 series. She has been an active member of the FINRA Continuing Education Content Committee for over a decade and served on the FINRA Continuing Education Council for three years.
• Vincent Favaro (Senior Principal Consultant – Broker-Dealer) – Vincent joins ACA from RBC Capital Markets, where he was a Compliance Officer for the Trade Surveillance Group of Capital Markets. Prior to RBC, Vincent was the CCO for Glen Eagle Advisors and Glen Eagle Wealth, a Registered Investment Advisor and Broker-Dealer that serves high and ultra-high net individuals. Prior to Glen Eagle, Vincent was the CCO for New Albion Partners, a trading and research Broker-Dealer. Vincent is a 25-year Wall Street veteran and began his career as an equity and fixed income trader for Institutional firms like BNY Mellon and TradeTrek Securities, a proprietary algorithmic trading firm that he co-founded. Vincent holds the SEI, 7, 14, 24, 55, 57, 63, 65, 79 & 99 FINRA licenses.
• Jordan Hedge (Senior Principal Consultant) – Jordan joins ACA from BNY Mellon where he served as Vice President and Assistant Treasurer within the Fund Treasury team. Jordan has nearly 20 years of experience in Fund Accounting and Administration, including expertise in expense budgeting and processing, fund distributions, board reporting, audit management, fund start-ups, mergers, and closures, regulatory filings, and performance reporting.
• Megan C. McVicker (Senior Principal Consultant) – Meg has extensive experience in regulatory oversight for Registered Investment Advisers and Exempt Reporting Advisers and a diverse skill set encompassing regulatory compliance, policy development, training and client relationship management. She joins ACA from Optima Partners where she held a senior role providing general regulatory compliance oversight with a focus on providing guidance on marketing materials, regulatory filings, and compliance program implementation and annual reviews. Prior to Optima Partners, Meg served as an Associate at FORT, L.P., a quantitative hedge fund based in Washington, D.C., and Clearlake Capital Group, L.P., a private equity firm based in Santa Monica, CA.
• Sue Terenzio (Senior Principal Consultant) – Sue has over 30 years of industry experience where she provided support to prominent law firm practice groups specializing in securities regulation. Sue brings experience with family office operational and back-office matters and has developed compliance programs for retail and institutional advisers, investment companies, business development companies, mutual and closed-end funds, private and venture capital funds. Her areas of expertise include building compliance programs for new entities, conducting gap analysis, and developing policies and procedures, written supervisory procedures, and controls testing, all focused on preparing entities for compliant operations and successful regulatory review. Serving as in-house CCO and outsourced CCO for consultancy clients, Sue is experienced in providing Advisers Act 206(4)-7 reviews, Investment Company Act 38a-1 reviews and FINRA Rule 3110 and 3120 reports and presentations to governing boards, leadership teams and regulators. Sue holds several FINRA licenses, is an Investment Adviser Association IACCP and an NSCP CSCP designee.
• Shoshana Thoma-Isgur (Senior Principal Consultant) – Shoshana has over 25 years of experience as an attorney and compliance professional in the financial services industry. Prior to joining ACA, Shoshana was the CCO and Chief ERM & Audit Officer for one of the largest consumer lenders in the U.S. Before that, Shoshana was deputy general counsel for a publicly-traded lender. Before going in-house, Shoshana was a partner at two international law firms, where she did investment adviser regulatory work focused on advisers to private funds. Shoshana also spent almost eight years as an Enforcement Attorney in the SEC’s Fort Worth Regional Office and was an inaugural member of its Asset Management Unit.
• Dara Biederman (Principal Consultant) – Prior to joining ACA, Dara worked as both an in-house and outsourced CCO for several registered investment advisory firms, fund companies and the State of Wisconsin Investment Board. Ms. Biederman earned a BA from UW-Madison and a JD from the University of Wisconsin Law School. She previously held the Certified Financial Planner designation while working with business owners and high net worth advisory clients and held the FINRA Series 7, 63 and 65 licenses.
• Nicholas Bourque (Principal Consultant) – Nick joins ACA from Bates Group, where he served as a senior compliance consultant, helping private fund advisers with SEC registration, compliance program management and support through SEC examinations. Nick also served as a private fund compliance consultant for IQ-EQ and held various in-house compliance positions within Millenium Management, Interactive Brokers, and Deloitte. Nick previously served in the United States Navy.
• Deborah Hopkins (Principal Consultant) – Deborah has more than 17 years of compliance experience.  She joins ACA from Truist Bank where she was a Compliance Officer with Wholesale Banking.  Her compliance experience with registered investment advisers includes previous positions with Barge Consulting, Triad Advisors, and RidgeWorth Capital Management (now Virtus Fund Advisers) where she worked on all aspects of the compliance program. 
• Steve Perloff (Principal Consultant – Broker-Dealer) – Steve joins ACA from CIBC World Markets Corp., where he served as Compliance Manager within the Compliance Examinations Program group. Steve has over 20 years of regulatory compliance experience, predominantly within the broker-dealer space, and has previously held similar roles at several globally recognized financial institutions including RBC Capital Markets, Lloyds Banking Group, and BNP Paribas. Steve began his career as a securities regulator at FINRA (NASD), where he spent 10 years based out of the New York / Long Island District conducting on-site regulatory examinations of member firms.
• Khamtanh Vannouvong (Principal Consultant - NFA) – Khamtanh joins ACA from Allspring Global Investments. Khamtanh was with Allspring and its predecessor firms for over 15 years serving in a variety of roles supporting its institutional asset management business. Most recently, he worked on the regulatory compliance team responsible for the firm’s CFTC/NFA requirements amongst other compliance functions. 
• Castleton Celelli (Consultant) – Castleton joins ACA from IQ-EQ, where he was a Manager, having started his consulting career with Blue River Partners. While at IQ-EQ, Castleton worked predominately with private equity, real estate and venture capital clients, and served as the point of contact for each client's CCO. In addition to general consulting, Castleton was responsible for testing/annual reviews, marketing material reviews, filings, and exam assistance among other items. Prior to joining IQ-EQ, Castleton worked for Dallas Baptist University in the Registrar's office while obtaining his MBA.
• Michaela Keating (Consultant – Broker-Dealer) – Michaela joins ACA from FINRA where she served as an Examiner within the retail examinations department. Michaela spent her time conducting on-site regulatory examinations of member firms and completing specialized projects related to Regulation Best Interest. Michaela has an M.S.F. with a concentration in Financial Compliance and a B.S.B.A in Corporate Accounting and Finance, both from Suffolk University located in Boston, Massachusetts.
• Cole Riel (Consultant) – Cole joins ACA from IQ-EQ, where he supported private equity and hedge fund clients as a Senior Associate. Prior to IQ-EQ, Cole worked with retail investments at Fidelity, where he obtained his FINRA Series 7 and 66 licenses. Cole graduated in 2020 from Baylor University with a degree in Economics.
• Mutasem Sayeedi (Consultant) – Mutasem joins ACA from Optima Partners Compliance Advisory, where he served as a Senior Associate, providing comprehensive support to various asset managers and hedge funds, ensuring adherence to SEC and CFTC/NFA regulations. Prior to joining Optima Partners, Mutasem worked as a Compliance Examiner at the NFA, where he conducted audits/examinations to ensure compliance with established regulations by the CFTC and NFA.
• Leila Beauvais (Senior Compliance Analyst – Broker-Dealer) – Prior to joining ACA, Leila worked as a securities examiner for FINRA, where she conducted detailed risk reviews and gathered regulatory intelligence. Previously, Leila was a financial control analyst at the Florida Office of Financial Regulation where she led regulatory examinations and ensured adherence to Florida securities laws. Her analytical skills were honed during her tenure as a special investigator for the Florida Department of Financial Services, where she conducted complex insurance investigations and supervised investigative teams. Leila is also a Certified Fraud Examiner (“CFE”) and completed specialized training in targeting investment funds from the National White Collar Crime Center.
• Patricia McFarland (Senior Compliance Analyst) – Patricia joins ACA from Carlyle Aviation Partners, a subsidiary of The Carlyle Group, where she was the Fund Compliance Manager, providing support to all aspects of the compliance program across a range of topics. Prior to her time with Carlyle, Patricia was a Compliance Specialist with Redwood Investment Management LLC and has held multiple positions with The Vanguard Group, as well, where she began her career in the investment industry. Patricia has held Series 7 and 63 licenses.
• Koi Milton (Senior Compliance Analyst) – Koi started her compliance career at IQ-EQ as a Compliance Associate, moving up to Senior Associate prior to leaving. At IQ-EQ she performed Code of Ethics testing, annual reviews, various filings such as ADVs, Form D, and Blue Sky. Koi attended University of Nebraska at Kearney, majoring in Criminal Justice, and upon graduation, attended and graduated from Lincoln Memorial University - Duncan School of Law, in Knoxville, TN.
• Antonio Rogliano (Senior Compliance Analyst) – Prior to joining ACA, Antonio worked as a Compliance Analyst for Cloudbreak Compliance Group in White Plains, NY. As a Compliance Analyst, Antonio performed a variety of compliance functions including regulatory filings, Code of Ethics testing, annual review and mock exam support, and compliance software support. He earned a BA in Business and Sociology from St. Lawrence University, in Canton, NY.
• Christopher Bonilla (Compliance Analyst) – Christopher joined ACA to focus on regulatory compliance after spending several years in high school education. Prior to that, Christopher was a case manager for the state of New Jersey for the Division of Child Protection and Permanency.
• Erica Chatterjee (Compliance Analyst) – Erica graduated from Rutgers University in May 2024 with a bachelor's degree in political science. Before joining ACA, she interned at the law firm Pickus & Landsberg and was also the head intern at the finance department of Brother Industries.
• Kevin Doran (Compliance Analyst) – Kevin joins ACA from Brown Brothers Harriman where he was a Consultant for the Income Collection and Tax Division. Kevin graduated in May 2023 from Rutgers University with a Bachelor of Science degree in Finance.
• Nikki Gromis (Compliance Analyst) – Nikki has 10 years of experience in the financial services industry. Before ACA, she served as Director of Transitions at a registered investment adviser, where she handled transitioning books of business to new broker dealers. Nikki earned her undergraduate degree in Psychology from Kutztown University. She also holds her life and health insurance license for the state of Pennsylvania.
• Hervinny Mittereder (Compliance Analyst) – Hervinny joined ACA in 2023, first serving in our Managed Services practice and then transitioning to the Regulatory Advisory practice. As part of the Managed Services Testing Team, she performed testing to support 206(4)-7 reviews. She also assisted the Expert Network Call Chaperoning Team, monitoring for MNPI and Insider Trading. Before joining ACA, Hervinny worked in journalism and marketing.

As a part of our PACT to clients, we are deeply committed to helping our clients succeed. This includes building teams with deep subject matter expertise to help navigate regulatory change and make informed decisions. We are actively hiring to continue to build out our team. If you’re passionate about compliance and want to learn more, visit our careers page here.

How we help our clients

With former regulators and examiners as well as in-house senior compliance professionals on our team, we are expertly placed to help you prepare for an examination, review your compliance program, and update your manual and policies and procedures.

ACA Signature is a scalable solution curated to suit your firm’s unique compliance needs. We combine compliance advisory, innovative technology, managed services, and cybersecurity to effectively address regulatory commitments and day-to-day responsibilities.

Reach out to your ACA consultant or contact us directly to learn how we can help you launch, grow, and protect your firm.

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