Michael Dziura

Background

About Michael Dziura

I am a passionate and driven compliance, risk, and regulatory expert who strives to ensure the highest standards of integrity, ethics, and professionalism in the investment industry. As the Managing Director and Chief Compliance Officer at Dziura Compliance Consulting, LLC, I leverage my IAACP and CSCS credentials and my deep knowledge of banking, corporate, finance, and securities law to provide comprehensive and customized compliance solutions to a diverse range of clients. I am committed to fostering a culture of compliance that aligns with the mission and values of Dziura and its partners, and to bringing innovative and effective practices that enhance the performance and reputation of our partner firms and the industry as a whole. In my current role, I serve as the Deputy CCO to three mutual fund series trusts containing over 60 advisors and sub-advisors and over 90 mutual funds and ETFs with a total of over $45 billion AUM. I conduct annual reviews of registered investment advisers and registered funds through onsite and virtual interviews, examine and review policies and procedures, codes of ethics, annual Rule 206(4)-7 reports, business continuity plans, cybersecurity policies, risk assessments, conflicts of interest analysis, best execution reports, Liquidity Risk Management Programs, Derivatives Risk Management Programs, Valuation Programs, etc, and prepare quarterly and annual reports to the Boards of Trustees. I also collaborate with internal and external stakeholders, such as auditors, regulators, attorneys, and service providers, to ensure compliance with applicable laws, rules, and regulations, and to respond to inquiries, examinations, and investigations. Additionally, I design and deliver compliance training and education programs to staff, clients, and trustees, and stay abreast of the latest developments and trends in the compliance field. I am proud to be part of a team that delivers high-quality and value-added compliance services to the investment community.