About Us

About Us

Our Team

Mike Wagner

Mike Wagner

President

In 1987, Mike joined the predecessor of Gemini Fund Services, LLC, as Director of Operations. During the ensuing years he worked with founder Michael Miola to grow the business and enhance the company’s procedures and controls, as well as the quality of its services. During Mike’s 18 plus years with the company he has been responsible for the Fund Accounting, Transfer Agency and Fund Administration Departments at various times, ultimately becoming COO in 2003 and President in 2004. In 2006, Mike moved to his new position as President of Northern Lights Compliance Services, LLC, a subsidiary of NorthStar Financial Services Group, LLC.

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Mike began his career with Ernst & Ernst in 1972, after graduating Cum Laude from St. John’s University with a BS in Accounting. Mike progressed to the position of Senior Manager in the Audit Department during his 15 years at the firm. After working on some high profile engagements such as the New York City Transit Authority, U. S. Postal Service, and Long Island Lighting Company, Mike gravitated toward the audits of investment companies working on a number of engagements including many of the Dreyfus Funds’ audits. Mike was well known for running efficient audits and had excellent relationships with both clients and staff.

Mike served as an officer in the U.S. Army from 1972 through 1978 retiring with the rank of First Lieutenant. Mike became a CPA in New York in 1975 and is a member of the American Institute of Certified Public Accountants. He is also a member of the National Society of Compliance Professionals/

Mike is active in his church, currently serving as congregation president as well as teaching Sunday school and singing in the choir. He also volunteers as an officer in a church sponsored basketball league. Mike enjoys crossword puzzles, playing racquetball and watching all sports. Mike lives with his wife on Long Island. They have three grown children.

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Lynn Bowley

Lynn Bowley

Senior Compliance Officer

Lynn Bowley began his career with Northern Lights Compliance Services, LLC in January, 2007. He is responsible for the fund oversight and compliance procedures for several mutual funds. Lynn assists fund companies in meeting rule 38a-1 requirements; he reviews and prepares compliance manuals for multiple fund families, performs fund provider site visits, attends Board meetings, presents materials and provides compliance advice to the Board, and also coordinates the services of multiple Chief Compliance Officers. Included in his clients is one of the largest shared trusts in the country. Lynn also has experience as a mutual fund company Principle Accounting Officer.

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Lynn’s career in the financial industry began at Touche Ross and Co. (currently known as Deloitte and Touche) where he was an auditor, and was quickly promoted to senior auditor. Lynn was an in-charge field auditor for audits and reviews of financial statements for various clients in a variety of industries including financial, insurance, real estate management, manufacturing, construction and agriculture related industries.

After auditing with Touche Ross and Co., Lynn joined the Mutual of Omaha Companies. There he performed various accounting functions and shifted from accounting into the investment realm as First Vice President, Accounting and Reporting. Lynn was responsible for the daily unit value pricing, accounting and financial reporting for SEC registered individual variable insurance products ($1 billion of managed assets) and accounting coordination for all new individual products and administrative system changes. After nearly five years in that post, Lynn became Vice President, Investment Support Services, which he held for four years. His role involved managing all back-office operations of the investment management strategic business unit, managing approximately $14 billion of invested assets and net investment income of $825 million. Lynn also has international business experience as an expatriate CFO to a United Kingdom company.

Lynn graduated Cum Laude from the University of Nebraska at Kearney with a BS in Business Administration, Accounting and Economics and is a Certified Public Accountant and Certified Management Accountant. He is also a member of the National Society of Compliance Professionals. Lynn lives with his wife in Omaha, Nebraska and has two children.

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Bill Kimme

Bill Kimme

Senior Compliance Officer

Bill Kimme began his career with Northern Lights Compliance Services, LLC (“NLCS”) in September 2011. He is responsible for the fund oversight and compliance procedures for many mutual funds. Bill assists fund companies in meeting rule 38a-1 requirements; he reviews and prepares compliance manuals for multiple fund families, performs fund provider site visits, attends Board meetings, presents materials and provides compliance advice to the Board. Bill currently serves several fund families as CCO.

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Prior to joining NLCS, Bill worked for Mick & Associates, PC, LLO, a boutique law firm located in Omaha, Nebraska specializing in regulatory and compliance issues for broker-dealers and investment advisors, as well as conducting due diligence on alternative investments. His due diligence work focused on managed funds (CTAs, CPOs, hedge funds, fund of funds), and registered investment companies. Prior to joining Mick & Associates, Bill worked for the Financial Industry Regulatory Authority (“FINRA”) in a number of capacities.

While at FINRA in New York, Bill served as the Assistant Director of Business Strategies for the Dispute Resolution Department dealing with, among other things, strategy, policy, regulatory issues with the SEC and states, rules and regulations, investment advisor issues, as well as merger and acquisition activity. He also provided regulatory consulting and training services to global audiences, which included governmental agencies. Bill’s efforts were instrumental with respect to FINRA’s achieving its first consulting relationship with a European governmental authority. He served on a number of committees as the only non-executive member with corporate and industry-wide impact. Bill also served as a Senior Attorney and Staff Attorney in FINRA’s Chicago regional office. Before accepting employment at FINRA, he worked in the private practice of law.

Bill has an MBA from Thunderbird in Glendale, Arizona, and a JD and BA from Creighton University in Omaha, Nebraska. He received his Certified Hedge Fund Professional designation (Level 1) in June of 2010.

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Emile Molineaux

Emile Molineaux

Senior Compliance Officer

Emile Molineaux joined the NLCS team in 2011. He currently serves as Chief Compliance Officer (“CCO”) for six different Boards with oversight of over 40 mutual funds and closed end interval funds. Emile also serves as Secretary of NLCS and provides legal counsel and oversight for NLCS. Emile started in the mutual fund industry in 1995.

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During the eight years prior to joining NLCS, Emile served as General Counsel and CCO for Gemini Fund Services, LLC, where he oversaw the legal department and also provided counsel to Gemini’s sister companies Gemcom, LLC and NLCS. In addition, he tended to legal matters relating to Gemini’s hedge fund administration business. Emile also served as Secretary of approximately 50 of Gemini’s mutual fund clients, and as Director of several Cayman subsidiaries of Gemini’s clients. As Gemini’s CCO, he provided guidance for Gemini’s regulatory compliance and conducted compliance education webinars for clients.

During the five years prior to joining Gemini, Emile served as one of several in-house counsels to the Dreyfus Family of Funds, where he was responsible for ongoing legal, compliance and regulatory matters in connection with approximately 20 portfolios, including open- and closed-end investment companies and master-feeder funds. Prior to that, he served as an attorney at the law firm of Morrison & Foerster, LLP in Washington, D.C. where he handled issues under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and state Blue Sky laws for large fund complex clients.

Emile has lived overseas for several years, is fluent in Spanish and conversant in French. In his spare time, he enjoys spending time with his family, working on his house, traveling, skiing, cycling, dining out and attending movies, museums and live music venues. Emile received his J.D. from The Catholic University of America, and is a member of the Pennsylvania Bar and the District of Columbia Bar.

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Chad Bitterman

Chad Bitterman

Compliance Analyst II

Chad Bitterman started with Northern Lights Compliance Services, LLC in May, 2010. Chad’s responsibilities initially included oversight of the compliance testing of various fund service providers. Due to a strong influx of new funds, his responsibilities have grown to also include: performing site visits, reviewing compliance manuals of fund service providers and reporting compliance assessment findings to Board members.

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Chad started his financial services career at Accutrade (a wholly owned subsidiary of TD AMERITRADE, Inc) in 1997. After being licensed, he was promoted from broker to Senior Margin Analyst to oversee client and company risk of margin loans. Chad was chosen to supervise all client services and trading functions for the rapidly growing investment advisor business unit. In the two years that he led this team, the Institutional Services Group grew from $1.5 billion to $9 billion in assets. After the business unit was relocated, Chad transitioned to a similar role within one of the oldest legacy retail business units.

Chad graduated from the University of Nebraska at Omaha with a BS in Marketing. He lives with his wife and two children in Gretna, Nebraska. Chad is currently a member of the National Society of Compliance Professionals (“NSCP”).

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Jacob Lindseth

Jacob Lindseth

Compliance Analyst II

Jacob Lindseth started with Northern Lights Compliance Services, LLC (“NLCS”) in December 2011. Jacob’s responsibilities include performing site visits, reviewing compliance manuals, reporting compliance assessment findings to Board members, and collecting documents for regulatory examinations.

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Jacob began his financial services career with NorthStar Financial Services Group, LLC, NLCS’s parent company, in 2007. While at NorthStar, he performed various compliance tasks for its affiliated registered investment adviser, including: conducting compliance reviews of marketing materials and maintaining applicable records; drafting, reviewing, and updating compliance related policies and procedures; and assisting with the development and implementation of compliance audit reviews.

Jacob earned his Juris Doctor from Creighton University School of Law and his Bachelor of Arts from Brigham Young University. He lives with his wife and four children in Papillion, Nebraska. In his spare time, Jacob enjoys spending time with his family and playing basketball.

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Patrick Dietze

Patrick Dietze

Compliance Analyst

Patrick Dietze started with Northern Lights Compliance Services, LLC in January 2011. Patrick’s responsibilities include performing site visits, reviewing compliance manuals, reporting compliance assessment findings to Board members, and oversight of the compliance testing of various fund service providers.

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Patrick graduated from the University of Nebraska at Omaha with a Bachelor of Science in Business Administration, majoring in Accounting, Finance, and Banking. He lives in Omaha with his wife and son.

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Brian Hourihan

Brian Hourihan

Regulatory Compliance Officer

Brian Hourihan joined Northern Lights Compliance Services, LLC (NLCS) in 2017 as Regulatory Compliance Officer. In this role, he is responsible for working to help strengthen compliance processes across the organization, and ensuring that all accounting, administrative, distribution, and marketing services provided to our clients comply with rules set by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, Inc. (FINRA), National Futures Association (NFA), and other industry regulators.

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Brian has more than 25 years of experience serving as an adviser in the areas of legal and regulatory compliance at top tier asset management firms, law firms, and the Division of Investment Management at SEC. He brings to NLCS expert knowledge of investment regulatory requirements and experience in establishing investment, trading, and operational contracts; strong business and legal judgment in adviser, broker-dealer, commodity pool operator, commodity trading adviser, transfer agent, and bank/trust matters; and extensive experience in designing investment and banking regulatory compliance programs, policies, and procedures.

Prior to joining NLCS, Brian most recently served as lead regulatory counsel, functional general counsel for institutional asset managers, and corporate secretary for OppenheimerFunds, Inc. (OFI). Prior to that role, Brian served in senior legal positions at MFS Investment Management, Fidelity Investments, and Scudder Kemper Investments, Inc., as well as at the SEC’s Division of Investment Management.

Brian graduated magna cum laude with a Bachelor of Arts degree from Boston College and received his Juris Doctor from Catholic University Columbus School of Law. He also earned his Master of Laws, Securities and Financial Regulation, from Georgetown University Law Center, where he graduated with distinction and won the Thomas Bradbury Chetwood, S.J. Prize for the highest GPA – Securities and Financial Regulation.

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