Gregory L. Florio is a founding partner of Orical LLP with over 18 years of legal and regulatory experience. Mr. Florio is an expert in investment adviser and broker/dealer compliance programs, regulatory examinations and investigations, and has extensive registration and fund formation experience with state, federal, and various international jurisdictions. Mr. Florio assists the firm’s clients on establishing compliance manuals and Code of Ethics, supervisory procedures and operational controls and provides independent operations reviews, compliance audits and testing. Mr. Florio also leads the firm’s technical solutions efforts designed to augment a client’s compliance and conflicts monitoring capabilities.
Prior to establishing Orical LLP in 2010, Mr. Florio was a senior counsel and the Chief Compliance Officer of a multi-billion global fund manager, Marathon Asset Management, LP. Mr. Florio was responsible for all aspects of the firm’s global compliance program including transforming its program to a state-of-the-art, electronic based system, successfully handled all regulatory audits, inquiries, and filings, and assisted in various legal and operational matters affecting the firm’s day-to-day operations.
Prior to Marathon, Mr. Florio served as a regulatory specialist in the Investment Management division of Seward & Kissel LLP and was an attorney in the Investment Funds Group of Sidley Austin LLP, where he represented various leading financial institutions, assisted in hundreds of investment adviser and broker-dealer registrations, and advised private funds on all aspects of compliance, legal, regulatory, formation and operational matters. Mr. Florio began his career as an Assistant District Attorney for the County of the Bronx, NY.
Mr. Florio graduated with honors from Fordham University School of Law in 1995 and holds a Bachelor of Science degree in Consumer Economics from Cornell University. Mr. Florio is a member of the New York State Bar Association.