With more than 16 years of experience in compliance and investment operations, Derek oversees Forest Investment Associates’ (“FIA”) compliance and risk management programs. He is responsible for maintaining an effective compliance and risk management program, including conducting annual risk assessments, updating regulatory policies and procedures, monitoring and testing, conducting staff trainings, maintaining the Code of Ethics, and reviewing marketing materials.  Derek chairs FIA’s Risk Management Committee and is a member of FIA’s ESG Committee, and Investment Committee (as a non-voting member).

Previous Experience

Before joining FIA, Derek served as the Chief Compliance Officer for Domain Capital Group (“Domain”) which had two Registered Investment Adviser (“RIA”) subsidiaries. During his time at Domain, he oversaw the compliance programs for both RIAs along with chairing the Enterprise Risk Management Committee. He also sat on the Investment Committee, ESG Committee, and Valuation Committee.  From 2010 to 2018, Derek worked for Ronald Blue Trust (previously Ronald Blue & Co.) in various roles in the Compliance Department.

What is your business philosophy?

I believe business is an environment where there is an opportunity for team members to work together and strive for the same goals, whether professional or personal goals, which creates a cohesiveness amongst all team members. When all team members are aligned and working together, a business will function more efficiently and grow at a faster rate.

Why did you choose this field / career path?

I always knew I wanted to work in the financial services industry. I was intrigued with the financial markets and numbers from an early age and have a desire to serve others in whatever capacity that may be. While I do not directly serve clients on the front line, I believe that by making sure firms stay in compliance with regulatory requirements I am serving the interests of the very clients we manage.

What is one of the best lessons you’ve learned during your career?

Be steady, be consistent, be dependable, be humble, and be encouraging. If you can accomplish most of these, then your coworkers and management team will have trust in your abilities to do your job.