Aaron De Angelis, Cpa
About Aaron De Angelis, Cpa
Aaron De Angelis is a Compliance Examiner at the U.S. Securities and Exchange Commission, where he has worked since November 2020. With over two decades of experience in compliance, he has held various roles, including Vice President and Director of Compliance at Rorer Asset Management and Chief Compliance Officer at Brandywine Global Investment Management and Spring Mountain Capital, LP.
Work at U.S. Securities and Exchange Commission
Aaron De Angelis has been serving as a Compliance Examiner in the Office of Compliance Inspections and Examinations (OCIE) at the U.S. Securities and Exchange Commission (SEC) since November 2020. In this role, he conducts compliance examinations specifically for SEC Registered Entities. His work focuses on ensuring adherence to regulatory standards and promoting transparency within the financial sector. He has accumulated four years of experience in this position, contributing to the SEC's mission of protecting investors and maintaining fair, orderly, and efficient markets.
Previous Experience in Compliance
Prior to his current role at the SEC, Aaron De Angelis held several significant positions in compliance. He worked as the Chief Compliance Officer at Spring Mountain Capital, LP from 2008 to 2020, where he managed compliance frameworks and regulatory obligations for the firm over a span of twelve years. Before that, he served as the Chief Compliance Officer at Brandywine Global Investment Management from 2004 to 2007. Additionally, he was the Vice President and Director of Compliance at Rorer Asset Management from 1998 to 2004. His extensive background in compliance spans over two decades.
Education and Expertise
Aaron De Angelis earned a Bachelor's degree in Business Administration with a focus on Accounting and Finance from 1981 to 1986. His educational background laid the foundation for his career in compliance and finance. He also completed his high school education at Friends School, graduating from the College/University Preparatory and Advanced High School/Secondary Diploma Program between 1978 and 1981. This academic training has equipped him with the necessary skills and knowledge to excel in the compliance sector.
Background
Aaron De Angelis has a diverse background in the financial services industry, specifically in compliance roles. His career began in the late 1990s, and he has since developed a robust understanding of regulatory requirements and compliance practices. His work has involved overseeing compliance operations and ensuring that firms adhere to the regulations set forth by governing bodies. He is based in Pennsylvania, United States, where he continues to contribute to the field of compliance.