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.
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.