Don Delano
About Don Delano
Don Delano serves as a Senior Securities Compliance Examiner at the U.S. Securities and Exchange Commission, specializing in compliance and risk management for various investment products. He has a robust background in financial compliance, having held positions at notable firms including Prudential Financial, PricewaterhouseCoopers, and E*TRADE.
Current Role at U.S. Securities and Exchange Commission
Don Delano serves as a Senior Securities Compliance Examiner in the Division of Examinations at the U.S. Securities and Exchange Commission (SEC). He has held this position since 2022. In this role, he is responsible for overseeing compliance with securities regulations and ensuring that investment firms adhere to industry standards.
Previous Experience in Financial Compliance
Prior to his current role, Don Delano worked in various compliance positions within the financial sector. He served as a Compliance Officer at Prudential Financial from 1994 to 1996, and later as a Team Leader and Principal Regulatory Consultant at PricewaterhouseCoopers from 1996 to 1999. He also held the position of Chief Compliance Officer at E*TRADE from 2001 to 2004.
Educational Background and Certifications
Don Delano studied Finance and Investments at Baruch College, where he earned a Bachelor of Business Administration (BBA). He furthered his education at NYU School of Professional Studies, achieving a Certification in Financial Risk Management. This academic background supports his expertise in compliance and risk management.
Expertise in Compliance and Risk Management
Don Delano possesses expertise in designing compliance and risk management policies for a variety of investment products. His knowledge spans mutual funds, commingled funds, private funds, and separately managed accounts. He has significant experience as a compliance consultant and regulator, contributing to his extensive product knowledge across global equity, fixed-income, and private investments.
Career Progression and Roles
Throughout his career, Don Delano has held several key positions in compliance and regulatory roles. He worked at the SEC as a Securities Compliance Examiner in the Division of Investment Management from 1990 to 1994. He also served as a Director at ACA Group for a brief period in 2022 and as a Senior Principal Consultant at ACA Compliance Group from 2014 to 2019.