Experience 20 Years
Dave serves as Chief Compliance Officer with responsibility for managing the firm’s Compliance Program and is involved with various firm-wide risk management efforts. Dave is a member of various Operating Committees at GW&K including the Investment, Brokerage, Cybersecurity/Business Continuity & Disaster Recovery, ESG, Proxy Voting and Valuation Committees.
Most recently, Dave served as GW&K’s Director of Compliance & Risk Management. Prior to joining GW&K, Dave held several roles at Wellington Management Company, including as a member of the investment advisory compliance team, the error resolution council support team and the fixed Income investment compliance team. Prior to Wellington, Dave worked at Fidelity Management and Research Co., where he was a member of the equity portfolio management compliance team. Dave began his career in Fidelity Investment’s Pricing and Cash Management Services organization.
Dave received his BA in Sociology from St. Lawrence University. He is a member of the Greater Boston Chamber of Commerce Financial Services Leadership Council and is active in investment management industry organizations, including the Investment Adviser Association and the Investment Company Institute.
Trust, respect and teamwork is rooted in GW&K’s culture. I love that in my role I have the opportunity to regularly connect and engage with clients, business partners, and colleagues of the firm. In doing so, I am able to better understand the needs of our clients, while simultaneously maintaining a pulse on our business alongside the ever changing global regulatory environment. I thrive on being a part of a highly collaborative and entrepreneurial driven organization where all colleagues have a seat at the table and can contribute meaningfully to our clients and business.