Victoria Hogan, CFA, President of NorthPoint, worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. Victoria then formulated and prescribed corrective and disciplinary recommendations to SEC management, including referring examinations to the SEC’s branches of enforcement and recovering misappropriated assets for clients.
Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group, a publicly traded, SEC-registered investment adviser with $32 billion in assets under management (as of September 30, 2009). At Fortress, she was responsible for developing and enforcing compliance policies and procedures, providing compliance advice, performing periodic and annual reviews of the firm’s compliance program, staying current on regulatory and compliance matters, modifying existing policies and procedures in order for the firm to remain compliant with the relevant rules and laws, and ensuring that employees of the firm were appropriately trained in compliance-related matters.
Victoria graduated magna cum laude from The College of New Jersey and is a CFA Charterholder.
To reach Victoria, please contact her at vhogan@npcomply.com.
Colleen Montemarano is a Senior Consultant at NorthPoint. Prior to joining NorthPoint, Colleen worked for over six years as a compliance examiner in the New York Regional Office of the US Securities and Exchange Commission (SEC). During Colleen’s tenure at the SEC, she conducted cause and routine examinations of a variety of investment advisers including fixed income and equity advisers, dually registered advisers, hedge fund managers, pension consultants, advisers to real estate investment trusts and advisers to investment companies. As a result of examination findings, Colleen prepared corrective and disciplinary recommendations for SEC management including deficiency letters and referring examinations to the SEC’s branches of enforcement.
Colleen graduated magna cum laude from St. Thomas Aquinas College with a BS in Finance.
To reach Colleen, please contact her at colleen@npcomply.com.
Leigh Emery is a Consultant at NorthPoint. Prior to joining NorthPoint, Leigh served as the Vice President of Operations & Compliance for an SEC registered investment adviser with $320 million in assets under management (as of October 7, 2012). In this role, Leigh was responsible for the development and implementation of the firm’s compliance program. This included the establishment of compliance and operational policies and procedures and the oversight of all company disclosure materials. Leigh was also responsible for employee training, systems administration, and the management of the client services team. Leigh began her career in banking, working as a personal banker for Investors Savings Bank and a branch manager for Bank of America. In both positions, her responsibilities included developing operational processes for the purpose of complying with federal banking regulations.
Leigh graduated from the University of Phoenix with a BS in Business Management. In September 2012, the Alumni Association honored Leigh with the Alumni Community Service Award for her efforts fighting cancer with the Leukemia and Lymphoma Society’s New Jersey Chapter.
In March 2012, Leigh was awarded the Financial Securities Compliance Education Scholarship by the National Society for Compliance Professionals. Leigh is currently preparing for the Certified Securities Compliance Professional (CSCP®) examination.
To contact Leigh, please email her at leigh@npcomply.com.
Nora Driscoll is the operations and office manager at NorthPoint. She previously worked for Empire Blue Cross Blue Shield for eleven years in the Finance and Auditing divisions. In the Finance Division, she worked in the Actuarial and Underwriting departments as a Senior Actuarial Analyst and Senior Underwriting Analyst preparing financial reports and assisting with regulatory compliance. In the Auditing Division, as a Senior Business Analyst, she served as the liaison between outside consultants and internal personnel with respect to claim processing audits. Her responsibilities included negotiating the audit scope, evaluating audit results and statistical assumptions, and developing and monitoring corrective action plans.
During her free time, Nora volunteers in her children’s schools and teaches Religious Education at her local church.
Nora graduated from Manhattanville College with a BA in Mathematics and from New York University with an MPA in Health Policy.
To reach Nora, please contact her at nora@npcomply.com.
