Sylvester M.
About Sylvester M.
Sylvester M. serves as the US Adviser Chief Compliance Officer at Russell Investments, where he has worked since 2021. He has a strong background in compliance and regulatory supervision, having held various positions at Prudential Financial, J.P. Morgan, and Merrill Lynch.
Current Role at Russell Investments
Sylvester M. serves as the US Adviser Chief Compliance Officer at Russell Investments. He has held this position since 2021. In this role, he is responsible for overseeing compliance and regulatory matters related to Registered Investment Advisers. He has developed and managed compliance programs that provide guidance and challenge to business leadership, ensuring adherence to regulatory standards.
Previous Experience in Compliance
Prior to his current role, Sylvester M. worked at Prudential Financial as the Director of Investment Adviser Compliance from 2018 to 2021. He also held the position of Vice President for RIA/BD Compliance at J.P. Morgan from 2015 to 2018. His experience includes a significant tenure at Merrill Lynch, where he served as Vice President of Regulatory Supervision from 2007 to 2014. His background in compliance spans over a decade, focusing on regulatory supervision for investment advisers and broker-dealers.
Educational Background
Sylvester M. holds a Bachelor of Science in Business Administration with a focus on Finance from Montclair State University. He furthered his education by obtaining a Master of Business Administration (MBA) with a concentration in Finance from Rider University. His academic qualifications provide a solid foundation for his expertise in compliance and regulatory matters.
Expertise in Regulatory Supervision
Sylvester M. possesses extensive expertise in compliance and regulatory supervision, particularly for Registered Investment Advisers and Broker Dealers. He has partnered with cross-organizational teams to address and mitigate large-scale regulatory risks within the securities industry. His experience in developing compliance programs has been instrumental in fostering a culture of compliance within the organizations he has served.