José A. Santiago
Senior Consultant
José A. Santiago has over 15 years of compliance experience in the financial services industry. Mr. Santiago began his career spending 5 years with the United States Securities and Exchange Commission (SEC) where he led routine and "for-cause" examinations of investment advisers and investment companies. Mr. Santiago represented the Commission at various public speaking engagements and also helped train staff in the New York City office. Following the SEC, Mr. Santiago spent time with AIM Management Group in Houston and PNC Financial Services Group in Baltimore
Mr. Santiago has experience coordinating compliance across multinational and multilingual companies with particular experience with United Kingdom, Asia and Canada having liaised directly with United Kingdom’s Financial Services Authority, and the China Securities Regulatory Commission. Mr. Santiago also has experience with private funds operating under the European Union's UCITS regulations.
Mr. Santiago has been a member of various in-house advisory committees including the Management Committee, Investment Committee, Operating Committee, Institutional Funds Fixed Income Committee, Brokerage Committee, Proxy Voting Committee, and Fair Value Pricing Committee. Mr. Santiago has also led client efforts to attain compliance with Global Investment Performance Standards (GIPS) and has advised hedge funds on compliance programs.
Mr. Santiago earned his B.B.A. in Finance with honors from the University of Texas and is currently studying for his MBA at the University of Baltimore. Mr. Santiago is a member of the National Society of Compliance Professionals and Association of Securities and Exchange Commission Alumni.