Samantha Bonamassa Attorney Profile on UpCounsel
Samantha Bonamassa

Samantha Bonamassa

Attorney at Law | Executive Compliance Consultant

Chicago
Illinois
Licensed in
FL, IL
Ave Maria School of Law
About
My career has been focused on overseeing corporate and business law matters, with a specific focus on providing carefully-tailored compliance programs and proactive compliance consulting services for SEC, CFTC and FINRA regulated financial services organizations. This includes providing compliance advice to, and performing legal and compliance research for investment advisers, such as private equity, hedge fund and venture capital firms. In addition to drafting and filing various regulatory filings, as well as drafting policies and and procedures for compliance manuals, standalone operational guides and other memoranda, this includes annual… read more review testing and mock audits, among other items.
3
Years
experience

Practice Areas

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Work History

Coast to Coast Compliance

Principal

Jul 2018 - Present

• Principal of securities compliance consulting firm handling compliance for registered and non-registered investment advisers and exempt reporting advisers, including private equity firms, hedge fund and venture capital clients.
• Perform comprehensive quarterly, annual, and ad-hoc compliance program testing, as well as on-site mock audits. annual compliance reviews, employee compliance training,

Jul 2018 - Present

Titan Regulation

Principal Consultant

Jul 2017 - Jun 2018

• Principal Consultant at a multi-office securities compliance firm handling compliance for registered and non-registered investment advisers, broker dealers, and exempt reporting advisers. Work with the SEC, FINRA and NFA, including client-specific inquiries, analyzing regulatory updates, and submitting SEC filings.

Jul 2017 - Jun 2018

Simon Compliance

Associate Attorney

Sep 2015 - May 2017

• Sole Associate Attorney at a boutique securities compliance firm handling compliance for private equity, hedge fund and venture capital clients, across several industries, including real estate, healthcare, energy, etc. Collaborated daily with high-level executives to prepare and complete annual and various as-needed amendments to Form ADV Part 1 and Parts 2A and 2B, among other filings.

Sep 2015 - May 2017

True Partner Capital USA Holding

Interim Chief Compliance Officer

Sep 2016 - Mar 2017

• Served as the Interim Chief Compliance Officer of an SEC-registered hedge fund with approximately $335 million in AUM, affiliated with an exempt reporting adviser registered with the SEC, trading out of Hong Kong, China.

Sep 2016 - Mar 2017

Pasky Gruber

Of Counsel

May 2015 - Aug 2015

• Provided corporate and intellectual property advice to clients, including both start-up and established companies.
• Participated in networking events, panels, and workshop efforts to acquire new clients.

May 2015 - Aug 2015

Christian Brothers Investment Services

Post-Graduate Legal Fellow

Aug 2014 - Aug 2015

• Supported the General Counsel and Chief Compliance Officer of a registered investment adviser and broker-dealer with both domestic and European funds. Worked with outside counsel to advise on various legal and compliance inquiries.

Aug 2014 - Aug 2015

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