Di Lu, MBA
About Di Lu, MBA
Di Lu is the Vice President and Compliance Officer at Marathon Asset Management, where he has worked since 2022. He has extensive experience in compliance within the investment management sector, having held positions at various firms including Lazard Asset Management and Virtus Investment Partners.
Work at Marathon Asset Management
Di Lu serves as the Vice President and Compliance Officer at Marathon Asset Management, a role he has held since 2022. His responsibilities include overseeing compliance functions and ensuring adherence to regulatory standards within the firm. Based in the Greater New York City Area, Lu contributes to the organization's commitment to maintaining robust compliance frameworks in the investment management sector.
Education and Expertise
Di Lu earned his Master of Business Administration (MBA) from the Fordham Gabelli School of Business, where he focused on a dual concentration in Finance and Management Systems from 2017 to 2019. He also holds a Bachelor's degree in Economics from Stony Brook University. Lu possesses specialized knowledge in compliance for alternative investments, hedge funds, and ETFs, and has expertise in navigating complex regulatory environments, including SEC, FINRA, and NFA regulations.
Background
Before joining Marathon Asset Management, Di Lu held several significant positions in the compliance field. He worked as the Vice President and Compliance Officer at Lazard Asset Management from 2005 to 2015, and as the Director and Compliance Officer at Virtus Investment Partners from 2015 to 2022. His career began at Hold Brothers Capital, LLC, where he served as a Compliance Officer from 2004 to 2005. This extensive experience has provided him with a strong background in investment advisor and asset management compliance.
Achievements in Compliance Frameworks
Throughout his career, Di Lu has demonstrated a history of enhancing compliance frameworks within the investment management industry. His roles have involved developing and implementing compliance strategies that align with regulatory requirements, thereby contributing to the overall integrity and effectiveness of the organizations he has worked for. His efforts have been particularly impactful in the areas of alternative investments and asset management.