Grace Brescia oversees all regulatory and compliance matters at Watts Capital. Grace is the principal and founder of GMB Compliance Solutions, LLC where she acts as Chief Compliance Officer for broker dealers and investment advisers. Her responsibilities include compliance with Dodd-Frank, SEC, FINRA, Investment Advisors Act, NFA, CFTC, and multiple foreign regulatory agencies. Grace brings special expertise in hedge funds, fund administration, alternative investments, regulatory reporting, underwriting (domestic/foreign), static data management, and retail, institutional and prime brokerage.
Grace's prior professional experience includes being a partner at Alternative Fund Consulting, where she advised fund managers on organizational, operational, legal, and product offering infrastructure. Grace was also an FX trader at McMahan Securities and over time expanded her responsibility to include all trading floor operations and compliance.
Grace earned a BBA in International Management at Pace University's Lubin School of Business. Grace holds FINRA securities licenses Series 7, 24, 79, 99, and 55.