About Us

NorthPoint Compliance provides compliance assistance to investment advisers registered with the U.S. Securities Exchange Commission. NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that will accomplish your compliance objectives. NorthPoint is different because we take the time to understand each investment adviser’s compliance needs and then tailor our services to fit the level of assistance desired by your firm.  With NorthPoint, you have a partner that is dedicated and determined to help your firm meet all of its compliance objectives.

Contact Us

By partnering with NorthPoint, you can:

  • Reduce the number and severity of deficiencies and violations found during a U.S. Securities and Exchange Commission (SEC) examination.
  • Decrease firm reputation risk and gain peace of mind that your compliance program is in accordance with the Investment Advisers Act of 1940 and expected best practices, and is equivalent to or better than that of your peers.
  • Reduce the likelihood that compliance violations and deficiencies go undetected.
  • Improve your ability to demonstrate to the SEC, as well as to clients and investors, that you maintain an adequate compliance program.
  • Enhance your annual compliance review and reduce the time spent conducting such reviews.
  • Reduce the impact that compliance reviews and tests have on your employees’ other initiatives and projects.
Contact Us

What To Expect

Maybe you already know that your firm is due for a mock audit or that you need help conducting ongoing compliance reviews. On the other hand, you may be seeking professional compliance assistance but are not sure where to begin. Whatever your needs, NorthPoint tailors its services to provide the level of assistance that is specifically desired to meet your compliance objectives. How do we do this? We start by acquiring an understanding of your firm and its compliance program as follows:

1. We review Parts 1 and 2 of your Form ADV
2. We discuss with you the current state of your compliance program

Shortly after these reviews and discussions, you are provided with a proposal outlining the scope of the project discussed, including objectives, methodologies, identification of responsibilities and fees. Upon your acceptance, the project is scheduled and we move forward with providing you the compliance assistance that you desire.

Meet Our Team

NorthPoint’s staff is comprised of former SEC compliance examiners, compliance officers, and seasoned compliance professionals.

President

Victoria G. Hogan, CFA

Victoria G. Hogan, CFA, 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. 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.

Senior Consultant

Colleen Montemarano

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 U.S. 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.

Director of Operations

Nora Driscoll

Nora Driscoll is the Director of Operations 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.

Nora graduated from Manhattanville College with a BA in Mathematics and from New York University with an MPA in Health Policy.

Compliance Resources

Resources

Form CRS Guidance

A guide to answer your questions on the Form CRS filing and delivery requirements.   If you are having trouble viewing the document please click here to view or download.
Resources

Exception to Reporting Requirements

Under the SEC’s Code of Ethics rule, access persons are required to report their personal holdings and securities transactions on a periodic basis, although an exception is made if such…
Resources

Questions for Your Traders

During an SEC examination, it is common for examiners to ask traders to “walk-through” how client trades are placed. Below is a list of specific questions that your traders may…
Resources
Disciplinary Questionnaire
Resources
Trade Blotter Review
Resources
Form ADV – Part 2A Checklist

Partner with NorthPoint Today

Request A Consultation