Iron Road Partners Appoints Ex-Wellington Americas Compliance Chief Jamie Peterson to Lead New Registered Investment Company Consulting Line

10 July 2024

Iron Road Partners, a leading regulatory consulting firm serving the investment management industry, today announced that it has launched a new service line focused on registered investment companies, including business development companies (BDCs), closed-end funds (CEFs) and open-end funds. Jamie Peterson, formerly Wellington Management's Americas chief compliance officer, was appointed to lead the effort, effective July 1.

Peterson, who joined as a director at Iron Road, is based in Boston. Under Peterson's leadership, Iron Road will leverage its highly regarded compliance and advisory functions to registered investment companies, including through the outsourcing of 38a-1 compliance program reviews, compliance program development and enhancement, mock examinations, compliance training and education, and ad hoc regulatory advice on complex matters.

Peterson is a veteran investment industry executive with over 30 years of experience. As Wellington's Americas CCO, he was responsible for all compliance matters in the United States and Canada. He served as CCO for Wellington Management Company LLP, Wellington Alternative Investments LLC, Wellington Funds US LLC, Wellington Management Canada ULC, and Wellington's affiliated broker-dealer Wellington Funds Distributors Inc. While at Wellington, Peterson provided regulatory compliance advice, led SEC, CTFC, NFA, FINRA, and OSC compliance programs, designed and implemented surveillance, testing and annual reviews, and successfully led numerous regulatory examinations across a wide range of business practices. Earlier, Peterson was chief compliance officer at Highfields Capital Management.

"Jamie's deep expertise in both traditional and alternative investments, broker-dealer issues and NFA regulations will be invaluable for our large and diversified clients who offer multiple registered and unregistered funds," said Igor Rozenblit, Iron Road's founder and managing partner.

New York-based Iron Road offers regulatory compliance and advisory services and partners with in-house compliance departments to address the growing strategic and operational challenges faced by asset managers in an increasingly complex regulatory landscape. The firm serves more than 100 alternative and traditional managers with a combined total of approximately $5 trillion in regulatory assets under management.

"With the accelerating trend of alternative investments converging with registered products, I believe Iron Road's expertise in alternative investment compliance and my background in both traditional and alternative investments offer clients unmatched expertise to navigate this new investment frontier," Peterson said.

About Iron Road Partners

Iron Road Partners works with investment managers to protect and increase franchise value by mitigating risk, increasing transparency, and implementing simple and effective compliance programs. Iron Road leverages its industry experience, unique regulatory perspective, and rigorous consulting approach, allowing investment managers to focus on their core business. Established in 2021, the Iron Road Partners team consists of former senior regulators, chief compliance officers, LPs and investors, providing essential services to more than 100 leading investment managers. For more information visit www.ironroadpartners.com.

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Source: prnewswire.com