Mock Exams & Gap Analyses « Greyline Partners, LLC

Mock Exams & Gap Analyses

The SEC, FINRA and NFA conduct examinations of registered firms in a variety of ways. Greyline is here to ensure that you’re ready when that day comes.

Preparation. Greyline offers mock exams or gap analyses to prepare you for the eventual reality of being examined. We will identify regulatory risks and potential weaknesses in your compliance program. Through document requests and in-person interviews, we take you through the examination process to prepare you to respond to the SEC, FINRA or NFA when you get that call, while avoiding unnecessary panic and disruption to your business.

Mitigation. Our team will help you create and implement examination protocols that are designed specifically for your firm. We will dive into the issues the regulators are focused on, and design a plan for any enhancements to your compliance program. We arm your firm with information and guidance based on the latest examination outcomes and our experiences with the SEC, FINRA and NFA.

Support. The Greyline team has extensive experience working at regulatory agencies and in-house financial services firms handling examinations. We will provide detailed guidance on how to best address any enhancements to your program, including best practices in the industry. Our goal is to ensure that post-review, your compliance program is stronger and your firm is ready for your next examination.

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

Darren Mooney

Partner and Co-Head of Business Development

Darren Mooney is a Partner and the Co-Head of Business Development at Greyline. Before joining Greyline, Darren served as deputy chief compliance officer of Partner Fund Management where he held primary responsibility for the compliance program of the second-largest hedge fund in the Bay Area. Prior to that, Darren spent five years providing compliance consulting services at Cordium and then ACA Compliance Group, where he led the company’s San Francisco office and west coast operations. In addition to providing ongoing consulting services to a variety of investment managers, including hedge fund, private equity, venture capital, real estate, quantitative and other wealth managers, Darren also regularly guided clients through the SEC registration process, implemented tailored compliance programs, supported clients’ live SEC exams, and served as an SEC-mandated independent compliance consultant following an SEC enforcement action. Darren’s other experience includes serving as deputy chief compliance officer and associate counsel at F-Squared Investments where he directly supported the compliance program during the investigation and subsequent enforcement regarding historical advertising practices. Darren has a B.S. in Economics from the University of Delaware and a J.D. from Suffolk University Law School. He is a member of the Massachusetts bar.

Annie Kong

Partner and Head of Venture Capital

Annie Kong is a Partner and Head of the Venture Capital Division at Greyline. She provides ongoing compliance consulting to investment advisers and manages client relationships. Prior to joining Greyline, Annie was part of compliance and operations at a long-only manager-of-managers that advised pension fund clients. While there, she conducted compliance and operational due diligence on SEC-registered investment advisers on the platform. She also oversaw and counseled on various legal matters across the firm. Annie has a B.A. in Economics from the University of California, San Diego, and a J.D. from the University of San Diego School of Law. She is an active member of the State Bar of California.