Mr. Smith is DLI’s Chief Compliance Officer. He manages all aspects of DLI’s compliance program.
Mr. Smith is a compliance professional and securities attorney with experience strengthening the compliance functions of investment management firms, broker-dealers, and investment vehicles. He has been Chief Compliance Officer of Griffin Capital Company LLC and of Research Affiliates LLC, where he also served as Assistant General Counsel. Prior to that, he was Director of Compliance of Athene Asset Management LLC, and Senior Counsel of Legal and Compliance at The Rock Creek Group. Additionally, Mr. Smith served as Investigative Counsel for the Financial Crisis Inquiry Commission and worked at the United States Securities and Exchange Commission in Washington, D.C.
Mr. Smith has invested significant time studying and writing about securities and derivatives laws. He has written multiple graduate research papers on related subjects and holds the following certifications: Certified Regulatory and Compliance Professional (FINRA Institute at Wharton); Investment Adviser Certified Compliance Professional (NRS Education); and Certified in Risk Management (International Institute of Professional Education and Research). In addition, Mr. Smith was the Founder and Chairman of the Securities & Financial Law Organization at Georgetown University Law Center for students and alumni. He remains active in the Investment Advisers Association and the Southern California Compliance Group.
Mr. Smith graduated cum laude with a B.S. in Accounting from the University of Kentucky, where he also earned his J.D. He received his L.L.M., with distinction, in Securities & Financial Regulation from Georgetown University Law Center.