Uncover compliance violations and deficiencies and prepare for an actual SEC examination
Decades of Industry Experience
NorthPoint understands the compliance requirements of investment advisers and how to develop, implement and maintain an effective program that accomplishes your compliance objectives.
About Our Founder
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.