Duane Mattson
About Duane Mattson
Duane Mattson serves as the Vice President of Compliance and Supervision at Lion Street, a position he has held since 2021. He has extensive experience in compliance roles across various financial institutions, including Dimensional Fund Advisors and PIMCO.
Current Role at Lion Street
Duane Mattson serves as the Vice President of Compliance and Supervision at Lion Street. He has held this position since 2021, contributing to the company's compliance framework and supervisory practices. His role involves ensuring adherence to regulatory standards and overseeing compliance-related activities within the organization. He operates from the Austin, Texas area.
Previous Experience in Compliance
Before joining Lion Street, Duane Mattson accumulated extensive experience in compliance roles. He worked at PIMCO as Vice President and Senior Compliance Officer from 2018 to 2020. Prior to that, he served as Chief Compliance Officer at Al Frank Asset Management | Innealta Capital from 2010 to 2012. His tenure at Dimensional Fund Advisors included positions as Senior Compliance Officer from 2012 to 2015 and Vice President from 2015 to 2018.
Career in Sales Supervision
Duane Mattson has a background in sales supervision, having worked at NFP Securities in various capacities. He began as a Sales Supervisor in 2003 and later became Manager of Sales Supervision from 2005 to 2006. He also served as Chief Supervisory Officer at NFP Securities from 2006 to 2008. His experience in sales supervision complements his compliance expertise.
Educational Background
Duane Mattson studied at the University of Minnesota, where he earned a Bachelor of Arts degree in Journalism from 1983 to 1987. He completed his secondary education at Warren High School. His educational background has provided a foundation for his career in compliance and financial services.