SEC3 Makes Key Hire to bolster Our Expanding Hedge Fund Compliance Business

To ensure continued high service levels are provided to our hedge fund clients, SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of Linda K. Smith to the SEC3 team. As managing director responsible for our New York office, Linda will primarily work with our New York and international based clients. Our growth has been significant in the last 18 months and the addition of Linda will ensure our New York and international clients continue to receive high levels of service.

Janaya Moscony, CFA, founder and president of SEC3, believes the firm is well positioned to assist financial firms faced with growing compliance resource deficits due to increased regulatory expectations. “Compliance should not be separate and apart from other business units. Blending regulatory concerns with business initiatives is essential. Linda brings a wealth of securities regulation experience and the ability to provide practical solutions to clients regarding the development, implementation and on-going monitoring of their compliance programs.”

In her previous roles as a practicing attorney working in New York, London, Brussels, Luxembourg, and Athens, Linda has advised clients on a broad array of securities law related issues including the impact of regulatory developments on international private funds managers structuring their US operations to comply with the new US federal registration rules. Linda has drafted and reviewed fund offering documents for hedge funds, private equity funds and various operating agreements. She has provided regulatory advice to investment advisers and broker-dealers under the federal and state securities laws, with an emphasis on the Investment Advisers Act, the Securities Act, the Securities Exchange Act, and FINRA rules. Linda has advised clients on federal and state registration procedures including the preparation of Form ADV.

Linda is a founding member of the Private Investment Funds Sub-committee of the New York State Bar Association and a member of the Securities Regulation Committee of the New York State Bar Association. Linda is also a member of the ABA Subcommittee on Hedge Funds, SIFMA, 100 Women in Hedge Funds and the Sustainable Business Committee of the Columbia Business School Alumni Club.

Prior to joining SEC3, Linda worked for various international firms including Dechert LLP (New York), Purrington Moody Weil LLP (New York), Garrity, Graham, Murphy, Garofalo & Flinn, P.C. (New York) Paige & Co. (London) and Koutroubas & Associates (Athens).

Linda earned her J.D and L.L.M. from Columbia University School of Law where she was a Harlan Fiske Stone Scholar. She also earned her L.L.M. in International Business Law from the London School of Economics where she was a NATO Scholar. She received her LL.M. in European Union Law (in French) from the University of Brussels Law School, where she graduated magna cum laude. Linda also earned and her LL.B. from Aristotelion University Law School, where she graduated summa cum laude. Linda is fluent in English, French and Greek.

Please join us in welcoming Linda to SEC3.