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Joseph McDermott

Managing Director

BA, Loras College; MBA, DePaul University

Mr. McDermott provides compliance consulting services to investment advisors, public/private funds, and broker-dealers on compliance matters including securities regulations, SEC and FINRA registration and examinations, compliance program development, and risk management. He also serves as an Outsourced Chief Compliance Officer.

Prior to joining Foreside, he was a Managing Director at Alaric Compliance Services, LLC. Mr. McDermott’s prior experience includes working as CCO or Compliance Director for several investment advisors, broker-dealers, and their affiliated investment companies. He also has international compliance experience working on OSC (Canada) and FCA (U.K.) matters. He began his financial services career as a regulator at the Chicago Board of Trade and then NASD Regulation (now known as FINRA). Mr. McDermott has held numerous securities licenses over his career, including Series 3, 4, 7, 24, 27, 31, 53 55, 65, and 66. He currently holds the Chartered Financial Analyst, the Financial Risk Manager, and the Financial Modeling and Valuation Analyst professional designations. Mr. McDermott previously served as a Director for the National Society of Compliance Professionals.

 

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