Focused on creating mindful compliance programs that balance regulatory risk with business operations, Jaclyn Halk works closely with investment firm Chief Compliance Officers to evaluate and improve on their existing policies and procedures.
Prior to joining Silver, Jaclyn was a compliance officer at Hudson Advisors, an SEC and CFTC registered global private equity firm with approximately $40 billion in regulatory assets. Jaclyn served as the firm’s point person for SEC and NFA regulatory matters including filings, responding to regulatory inquiries, and interpreting Advisers Act and Commodity Exchange Act requirements. Prior to Hudson, Jaclyn was a manager at Constellation Advisors, a compliance consulting services firm, where she assisted new advisers in building their compliance program from the ground up and registering with regulatory agencies, as required.
Jaclyn received a Bachelor of Arts in Political Science and Criminal Justice from the State University of New York at Albany and earned a Juris Doctor from Pace University School of Law.
A former regulator who investigated investment firms, Tyler Schoenberg works with Silver clients to prepare for and manage SEC exams, develop and forensically test compliance policies and procedures and train client employees in compliance matters. Tyler’s understanding of enforcement objectives and priorities and how securities laws are applied to real world scenarios allow him to hone in on issues material to regulators.
Prior to joining Silver, Tyler worked as a contract attorney at the SEC’s Division of Enforcement Asset Management Unit, developing cases against investment advisers, broker dealers, registered investment companies and private funds. Previously, at the United States Attorney’s Office, Tyler worked on civil fraud and white-collar crime investigations, including a 2014 case against Bank of America and its subsidiary Countrywide Financial Corporation, which settled for $16.65 billion and is the largest civil fraud settlement against a single entity in United States history.
Tyler holds a Bachelors of Arts in Political Science from the University of California, Los Angeles and a Juris Doctor from Chapman University School of Law.
Leveraging experience in analyzing and managing environmental, regulatory and legislative risk, Jarod Riedl advises Silver clients on Environmental, Social and Governance (ESG) and regulatory compliance issues.
Prior to joining Silver, Jarod was at Woodbridge International, a mid-market sell-side advisory firm. At Woodbridge, he was responsible for evaluating environmental and regulatory impact on client companies. Previously, Jarod worked at the Connecticut Group, a government relations and legislative research firm. There, he helped identify, research and mitigate legislative risks to a variety of financial, energy and technology firms.
Jarod received a M.S. in Financial Risk Management, as well as Bachelor of Arts in Economics and Political Science from the University of Connecticut. His academic work focused on econometric analysis and sustainability issues. He also minored in Analytics and was a four-year letter winner for UConn’s NCAA Division I Men’s Soccer Team.
Leveraging experience in Anti-Money Laundering compliance and consumer finance compliance, Henry Trinh specializes in the implementation, maintenance and management of compliance monitoring programs for Silver’s clients.
Prior to joining Silver, Henry was a Compliance Officer at Omni Financial of Nevada, working with the Chief Compliance Officer and other departments to carry out the company’s Compliance Management System. Henry’s responsibilities included reviewing and revising corporate policies and procedures, reviewing marketing materials for conformance with FTC guidelines and developing the company’s business record retention program. Previously, Henry worked at AML RightSource where he investigated suspected cases of fraud and money laundering on a fintech platform.
Henry received a Bachelor of Arts in Philosophy from UCLA and a Juris Doctor from the University of San Francisco School of Law. Henry also holds a Certificate in Deposit Compliance from the American Bankers Association (ABA) and is a Certified Anti-Money Laundering Specialist (CAMS) under the Association of Certified Anti-Money Laundering Specialists (ACAMS).
Highly experienced in investment firm complexities, Lisa Klar leads Silver’s Due Diligence Preparation Services while also working closely with Silver’s leadership team to develop, launch and expand new and existing service offerings. Lisa was integral in developing the Due Diligence Preparation Services, which are designed to help Silver’s clients withstand the scrutiny and monopolizing demands of investor due diligence.
Over the course of her 30+ year career, Lisa Klar has held senior positions in product, marketing, distribution, compliance and legal functions across the spectrum of financial services firms. Lisa also practiced investment management law at prestigious firms advising sponsors of hedge, private equity and mutual funds and separate account managers.
At Simpson Thacher & Bartlett LLP, Lisa was Senior Counsel in the Corporate Department and the firm’s expert in advising alternative and traditional investment managers on compliance matters under the Advisers Act and exemptions under the Securities Act and the Investment Company Act. She also played a key role in structuring investment manager acquisitions and mergers, including performing certain aspects of target due diligence, internal investigations and guided clients through SEC examinations, investigations and enforcement actions and handling the intricacies of their outcomes. Prior, Lisa was the General Counsel, Chief Compliance Officer and Director of Product Structuring of Cadogan Management, LLC, a fund of hedge funds manager.
As the Director of Compliance at Lehman Brothers’ Investment Management Division Lisa oversaw the compliance function for the private equity, hedge fund, mutual fund, separate account and wealth management businesses of Neuberger Berman and the legacy Lehman businesses. At Lehman at the time of the 2008 bankruptcy, she was part of the team representing the Division during private equity due diligence sessions. Also at Lehman, Lisa was a senior member of a team hired to implement a new strategy to capture greater prime brokerage share through consulting to hedge fund clients.
Earlier, Lisa led product management, development and marketing efforts for the Alternative Investments units of Citigroup’s Smith Barney division and the Managed Account businesses at Prudential’s Investment Management arm. In these roles, she was the gatekeeper and relationship manager to hundreds of mutual fund, traditional separate account and alternative managers, led initiatives to enter new distribution channels and/or asset classes, performed certain aspects of manager due diligence and was responsible for partnering with the sales force and continual program improvement. Prior to her business role at Prudential, Lisa led the Investment Advisory unit of its Securities’ Law Department. Lisa began her career as an associate in the investment fund practice of Seward & Kissel.
Lisa holds a Bachelor of Science degree from Cornell University and earned a Juris Doctor from the University of Pennsylvania.
A veteran of the alternative investments industry, John Seall works with investment managers to prepare for investor due diligence, drawing on his cross-functional experience and multi-disciplinary skill set to simulate rigorous institutional investor review. Over the course of his nearly three-decade career, he has held executive level positions including Chief Operating Officer, General Counsel and Head of Business Strategy and Development at global alternative asset managers. Across these roles, John was instrumental in the structuring and implementation of new financial products and business initiatives specifically designed to increase AUM.
Most recently, John served as Managing Director and Chief Operating Officer of Investable Indices at State Street Global Exchange. Previously, he held positions at Credit Suisse Alternative Investments, including Chief Operating Officer of Liquid Alternatives and, earlier, Head of Transaction Management for the Alpha Strategies Group. John was formerly the Head of Business Strategy and Development for the Quantitative Strategies Group (“QSG”), where he was responsible for the implementation and development of the Credit Suisse GTAA Global Macro and Insurance-Linked Strategy products. Prior to his role at QSG, John was a member of the Platform Management and Development team in Zurich, where he led the merger of a Private Bank Fund of Funds business with an Institutional Fund of Funds business, resulting in the creation of a Top 10 Fund of Funds business with AUM of over $22B. In addition, he served on the Boards of various Credit Suisse investment vehicles.
Earlier, John held senior analyst and product development positions at various hedge funds and a CTA. He also served as an Associate Corporate Counsel of Franklin Templeton Alternative Strategies, LLC and was General Counsel for a hedge fund with approximately $2.5 billion in AUM. John began his career on the floor of the Chicago Board of Trade with Merrill Lynch Futures in 1990.
John is a Chartered Alternative Investment Analyst, a Chartered Financial Analyst, a Financial Risk Manager, a Professional Risk Manager, and was formerly an Attorney, and a Certified Public Accountant. He received a Bachelor of Arts in Economics from the University of Notre Dame, earned a Juris Doctor from the Hofstra School of Law and received a Masters in Business Administration from the DePaul University Kellstadt Graduate School of Business.