Chief Compliance Officer

Bill is the Chief Compliance Officer at NEAM, Inc. and is responsible for all aspects of the Firm’s compliance activities, including compliance monitoring, assessing the effectiveness and adequacy of the Firm’s compliance policies, training on compliance matters and management of the Firm’s Compliance Group. Bill joined the Firm in December 2020, having previously been employed at Prudential Financial. At Prudential, Bill most recently served as Vice President and Chief Compliance Officer for Prudential Advisors and Prudential Annuities Distributors. In this capacity, Bill managed the compliance team addressing investment advisory, insurance, broker-dealer, and regulatory matters. Bill previously served as Chief Legal Officer for Prudential’s Individual Life and Distribution functions. Bill has extensive experience in the financial services industry, serving in compliance and legal roles addressing securities, asset management, insurance, international, and investment advisory roles with Travelers Life & Annuity, ING and Hartford Financial. He is a member of the Connecticut, Massachusetts and New Jersey (in house) bars. He graduated from the University of Connecticut with a BA in History and with a JD from Suffolk University School of Law. He has been employed in the investment or legal industry since 1990.