Apogee Sets Sail
Former Managing Director of ACA Global Launches Regulatory Consultancy, Apogee Compliance LLC
AUSTIN, August 25, 2021 – Scott Brindley, a 23-year veteran in the SEC and CFTC/NFA regulatory compliance space, has launched a governance, risk, and compliance consulting firm headquartered in Austin, Texas. Prior to creating Apogee Compliance LLC, Mr. Brindley held positions as a regulatory examiner, Big Four consultant, Chief Compliance Officer, and Managing Director at ACA Global.
“I am excited and eager to begin this journey,” said Mr. Brindley. “Given the range of my private fund experience, I believe Apogee can offer a great value proposition to a variety of managers across multiple regulatory regimes. Considering the current landscape, it has never been more important for managers to invest in a high-quality compliance program. I will build a team of seasoned veterans with expertise as former regulators, CCOs, and elite compliance consultants. Trust will drive my relationships with clients and business partners.”
Mr. Brindley began his career at the National Futures Association as a regulatory examiner. In this role, he conducted over 150 examinations of member firms and CFTC-registered asset managers. Mr. Brindley also performed financial and compliance investigations into problematic regulatory matters, including presenting findings and recommendations to the NFA’s Business Conduct Committee.
Previously, Mr. Brindley held an advisory role within KPMG’s financial risk management practice, where he gained exposure to other regulatory agencies such as the SEC and FINRA. In addition, Mr. Brindley served as a Chief Compliance Officer while in Chicago, and, most recently, he built and led the CFTC/NFA division of ACA Global from its headquarters in New York. When asked about his experience at ACA, Mr. Brindley had this to say: “I catapulted my career while at ACA. When I joined the firm, I already had the CFTC and NFA expertise. When I departed, I did so with further knowledge of SEC regulation, an expansive professional network, and an entrepreneurial experience that will prove to be invaluable in growing Apogee.”
About Apogee Compliance LLC
Apogee Compliance LLC provides governance, risk, and compliance (GRC) support services to SEC-registered investment advisers and CFTC/NFA-registered commodity pool operators (CPOs) and commodity trading advisors (CTAs). The firm is a select, boutique compliance consultancy that seeks to establish and foster client relationships with the most talented and accomplished investment management firms in the world, concentrating on the United States, United Kingdom, and Brazil.
For more information visit www.apogeecompliancellc.com. Scott Brindley can be reached at sbrindley@apogeecompliancellc.com.