Managing a Routine SEC Exam

Scott Pomfret has seen every angle of the investment fund regulatory landscape. Scott spent 8 years as a branch chief for the SEC Division of Enforcement, leading teams investigating traditional and alternative asset managers. After a brief stint at PwC thereafter, Scott was the Chief Compliance Officer at Highfields Capital Management, a $12 billion value-oriented investment manager. Today, Scott advises private funds and vendors on regulatory, legal, and business issues.

Our conversation covers Scott’s tenure at the SEC, his transition to the private sector, and best practices for CCO’s and their firms. He discusses the relationship between compliance and investment staffs, building teams, and scaling operations. We close with Scott’s work on various boards and what might be the coolest piece of memorabilia in fund compliance circles!

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