Stefanie J. Little Founder and Partner
Stefanie Little is a Founder and Partner of Chenery Compliance Group. Additionally, she is Managing Partner of SEC Compliance Alliance. Ms. Little currently serves as the Chief Compliance Officer for several investment industry clients. She was previously affiliated with a legal and compliance firm through which she acted as Chief Compliance Officer for a number of entities, including registered investment advisers and mutual funds. In conjunction with those roles, she developed and oversaw investment adviser and registered fund compliance programs, performed annual compliance reviews, conducted training and managed multiple SEC examinations. Prior to 2008, Ms. Little spent several years heading first the compliance, then the legal function, at Brandywine Global Investment Management, gaining extensive experience across a variety of investment products and vehicles. She has 16 years of experience in the investment management industry and is a graduate of Widener Law School and the University of Delaware’s Lerner College of Business and Economics.
Thomas C. De Cain Founder and Managing Partner
Thomas De Cain is a Founder and Managing Partner of Chenery Compliance Group. Additionally, he is Managing Partner of Chenery Group, a boutique consultancy serving the investment management and alternatives industry. Mr. De Cain previously launched the investment management practice for a top 20 global retained executive search boutique. He held various senior distribution roles at a top global asset management and investment banking firm, and led European sales at the stock exchange. He built two consultancy and service companies through exponential growth and subsequent sale. A graduate of Bucknell University, Mr. De Cain received an MBA from Northwestern’s Kellogg Graduate School of Management
Colleen A. Kelly Director
Colleen Kelly is a Director of Chenery Compliance Group. She previously served as Chief Compliance Officer for NADART, the financial services division of NADA, a plan administrator for over $3.3 billion in retirement assets. Ms. Kelly was Chief Compliance Officer for Cardinal Wealth Management Group which included the trust division, registered investment adviser and oversight of the broker–dealer compliance effort. Ms. Kelly was a founding principal and Chief Operating Officer for Columbia Partners Investment Management. She was involved in all aspects of starting up the compliance, financial, trade and hedge fund operations for the company. Ms. Kelly also served as a compliance and operations consultant for an investment adviser. Ms. Kelly has implemented and administered several compliance programs for both SEC and state registered investment advisers and has managed several regulatory examinations. She has over 20 years of experience in the investment management industry and is a graduate of Villanova University.
Christopher F. Brown Director
Chris Brown is a Director of Chenery Compliance Group. Chris has 15 years of experience as a Chief Compliance Officer for various entities. He recently served as Chief Compliance Officer for LGL Partners and Forbes Family Trust, multi-family offices with approximately $4.2B in assets under management. Additionally, Chris was responsible for overseeing compliance on private funds for Bala Capital Group, an affiliate of LGL and FFT. As the compliance leader, his role included surveillance, testing, audit, regulatory filings, code of ethics, personal trading and training. Mr. Brown previously worked for BNY Mellon – Lockwood Advisors where he conducted due diligence on participating managers for Lockwood’s separately managed accounts platform. These functions included initial review and ongoing compliance assessment. Mr. Brown also served as CCO & FinOp responsible for the startup of Aberdeen Fund Distributors, a $4.1B lift out from Nationwide. Prior to Aberdeen, Chris served as CCO & FinOp for Investorforce Securities, a FINRA registered Broker Dealer. Mr. Brown has successfully led the compliance functions for 6 years for FINRA regulated entities and 9 years for SEC regulated entities. He has over 27 years of experience in the investment management industry and is a graduate of Denison University.
John Canning Director
John Canning is a Director of Chenery Compliance Group. John Canning most recently served as a Senior Compliance Consultant at Foreside providing compliance consulting services to registered investment advisors, working to develop effective compliance programs and solve complex regulatory issues, including serving as an Outsourced CCO. Prior to Foreside, Mr. Canning served as Chief Compliance Officer and Chief Operating Officer for Schneider Capital Management, an asset management firm focused on a deep value equity investment strategy for institutional and individual investors. Previously, Mr. Canning was Chief Compliance Officer of Context BH Capital Management and Chief Operating Officer for Context Asset Management. Context BH Capital Management and Context Asset Management were subsidiaries of Context Capital Partners, LP an asset management firm focused on providing seed or acceleration capital to alternative investment strategies across hedge funds, liquid alternative mutual funds and private equity. Also, Mr. Canning was Director of the Compliance Program at a Compliance Services Firm where he served as Chair of the Compliance Committee and served as Chief Compliance Officer to SEC registered investment advisers and registered investment companies. Mr. Canning has over 25 years of private fund, mutual fund, compliance, operations and asset management experience. John graduated with his BS in Finance from La Salle University.
Kristin Stelljes Consultant
Kristin Stelljes is a Consultant of Chenery Compliance Group. Ms. Stelljes has over 15 years of experience in the financial services industry. Ms. Stelljes previously served as Chief Compliance Officer for Arrow Investment Advisors, LLC (‘Arrow’), an advisor to mutual funds and exchange traded funds, as well as served as the Chief Compliance Officer for Archer Distributors, LLC, a limited-purpose broker dealer which distributes Arrow’s mutual funds. Prior to Arrow, she also held the role of Senior Compliance Consultant with BackOffice Alliance in which she provided compliance consulting assistance to various investment management firms. Ms. Stelljes was also with Friedman, Billings, Ramsey (‘FBR’) and served in various capacities including as Assistant Vice President to FBR’s investment adviser, FBR Fund Advisers, Inc. and treasurer to the FBR Funds. She is a graduate of St. Cloud State University.
Karen Santos Consultant
Karen Santos is a Consultant of Chenery Compliance Group. Ms. Santos has over 20 years of experience in the financial services industry. Ms. Santos previously served as Compliance Officer for JMP Securities, a FINRA registered Broker Dealer specializing in Investment Bank platforms, serving corporate clients and institutional investors. Prior to JMP Securities, she also held the role of Senior Vice President of Compliance at Pacific View Asset Management LLC, an SEC Registered Advisor, where she was an integral part of the start-up process for the firm, along with serving in various capacities including, Executive Committee Member and AML Officer. Ms. Santos was also previously with Thomas Weisel Partners LLC/Stifel, FINRA registered Broker Dealers, where she served as Vice President of Compliance. She is a graduate of DeAnza College.
Greg C. Johnson Consultant
Greg Johnson is a Consultant for Chenery Compliance Group. Most recently, Greg managed the Sarbanes-Oxley (“SOX”) compliance function for the Annuity, Individual Life and Employee Benefits business units of Voya Financial. Prior to Voya, he was a global financial services executive with senior leadership experience in global and U.S. SOX compliance, internal audit, risk assessment and internal controls experience for the ACE Group (currently Chubb Limited). He was responsible for managing large-scale complex global projects and developing internal monitoring plans ensuring compliance with regulatory standards. Prior to ACE, Greg worked at Prudential Insurance Company and SEI Investments in their respective internal audit departments. He began his career at SEI Investments as a fund accountant for SEI’s proprietary mutual fund complex. He is a CPA and has over 25 years of experience in the investment management and insurance industries and graduated from Trinity College with a B.A in Economics.
Donna M. Melson Consultant
Donna Melson is a Consultant of Chenery Compliance Group. Ms. Melson brings over 30 years of financial industry experience in operations and regulatory compliance. Prior to joining Chenery, she was a Senior Compliance Officer with Delaware Investments. Ms. Melson leveraged her seasoned financial industry experience to lead a team of compliance professionals in various aspects of broker-dealer and other regulatory compliance functions. Having held previous roles at Brandywine Global Investment Management and 1717 Capital Management, she earned experience across all aspects of investment advisory, broker-dealer and separately managed accounts.
McAllister ‘Mac’ Humble Associate
Prior to joining Chenery, Mac worked at J.P.Morgan Private Bank performing investment strategy research and assisted Investment Specialists and Private Bankers. A graduate of the University of Pennsylvania, he received his undergraduate degree in Economics and competed as a collegiate athlete on the varsity football team.