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Thomas Harter

Senior Director

BS, Loyola Marymount University; MS, Boston University

Mr. Harter provides compliance consulting services to registered investment advisor clients, which may include providing guidance on Federal Securities Laws, developing compliance programs, conducting annual 206(4)-7 reviews, SEC mock exams, and risk assessments. Prior to joining Foreside, he served as chief compliance officer of the Allianz Global Investors mutual fund complex and held various senior compliance roles in his 18 years with the firm. Earlier in his career, Mr. Harter worked as an audit manager for 6 years at PricewaterhouseCoopers in the investment management practice and conducted financial statement audits and regulatory compliance/operational reviews for several large investment management firms. Mr. Harter has over 24 years of experience in the investment management industry and is a Certified Public Accountant (CPA) and Chartered Financial Analyst® (CFA®).