Anna PovinelliManaging Director, Compliance and Regulatory Consulting at Duff & Phelps
Anna is a member of the Compliance and Regulatory Consulting practice in New York. She is a trusted adviser to a number of wealth advisers and investment advisers to private equity firms, hedge funds, and is relied upon to identify issues and craft practical solutions. She provides strategic advice on all aspects of compliance programs including with the formation and structuring of risk-based compliance programs, drafting of tailored compliance manuals and code of ethics to reflect regulatory requirements and best practice, conducting and documenting firm-wide risk analysis, and reviewing marketing materials including supporting documentation. Anna’s accounting background allows her to specialize in fee and expense reviews and other financial related aspects of an adviser’s business and reporting obligations. She is frequently retained to conduct forensic analysis and testing of operational controls and transactions in high-risk areas within organizations such as operations, accounting and cash disbursements, trading, performance calculations, and conflicts of interest evaluation.
In addition, she leads mock regulatory examinations including key employee interviews. Anna also supports clients throughout the entire regulatory examination process inclusive of interview preparation, detailed response analysis and drafting of response letters involving the U.S. Securities and Exchange Commission (SEC), Commodity and Futures Trading Commission (CFTC), National Futures Association (NFA) and FINRA examinations