As Executive Director – Regulatory Compliance Services, Wade is responsible for outsourced regulatory compliance services for a portfolio of clients. His team provides a variety of regulatory compliance services and mock audit reviews to SEC registered investment advisers, 1940 Act fund boards, NFA/CFTC pools, and other regulated U.S. and International clients. He has over 20 years of global compliance experience including legal, audit, accounting, investment operations and risk management.
Prior to joining DMS, Wade was the Chief Compliance Officer for Exchange Traded Concepts, LLC (ETC) a US Registered Investment Adviser and ETF investment firm. Prior to working at ETC, Wade was President, Senior Managing Director and Business Head, at Foreside Compliance Services (Foreside). Prior to Foreside, he was a Managing Director, Global Chief Compliance Officer and Head of Human Resources for Gottex Fund Management, a public company listed on the SIX Swiss Exchange. Wade has also held management positions at Brown Brothers Harriman (BBH) and PFPC where he served as a 1940 Act attorney and Compliance Officer.
Wade holds a BA from Salem State University and a JD from Massachusetts School of Law.