Walter Root Biography

Walter Y. Root II | Compliance Director

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expertsphone(212) 739-9255

wroot@elinphant.com

 

 

Walter brings over two decades of experience to Elinphant working with financial service firms, developing and implementing compliance programs across Broker Dealer and Investment Advisory clients. He is an experienced Chief Compliance Officer with an emphasis on alternative investments and private equity advisors and international distribution.

Walter was the Chief Compliance Officer of Scotland based Standard Life and has held other senior roles with international asset management firms including, South African based Old Mutual and subsidiary Skandia Funds. In these roles, he oversawFINRA regulatory filings, including registration filings (Form BD, BR, U4, and U5), FOCUS Filings, advertising, and disclosure events and managed regulatory relationships with FINRA and state regulators. While with Skandia, Walter was responsible for oversight of Western Hemisphere distribution and managed all aspects of a US based FINRA registered broker dealer, acting as a distributor of offshore Dublin based UCITS funds with 4 billion in assets under management. He has leveraged industry and compliance experience to provide oversight of Operations, Marketing and Finance functions. Prior to his work at Skandia, Walter was employed with Bank of America where he played an integral role in the development and testing of a centralized monitoring and compliance program to oversee the banks Alternative Investment programs and also played numerous roles supporting Banc of America Securities advisory compliance and legacy entities.

Walter holds a Bachelor of Arts degree from Saint Anselm College in Manchester, New Hampshire and a Master of Science Degree specializing in Investment Management from Boston University’s Questrom School of Business.