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Welcome to the Compliance4 podcast with your host Elizabeth Hamilton-Guarino. Compliance4 is dedicated to helping you connect with the greatest minds in the regulatory, legal and compliance fields. Use the hashtag #Compliance4 to connect with us in social media. Visit us online at Compliance4.com and join your peers and our experts in our growing community.
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Dave Carson - Ultimus Fund Solutions
Dave joined Ultimus in 2013. As Director of Client Strategies, Dave's primary responsibilities include managing the series trust product line, providing expert assistance to investment managers considering starting a fund, and serving as senior relationship manager for certain clients.
Dave has been in the financial services industry since 1981, and has almost twenty years of fund and asset management experience. Dave has been Chief Compliance Officer for mutual fund families, registered investment advisers, and an ETF trust. He also served as Chief Operations Officer for a mutual fund family, and previously had senior management responsibility for fund and adviser marketing, fund wholesaling, transfer agency, shareholder servicing and adviser compliance. Earlier in his career Dave was a corporate IT audit manager, and managed holding company-level credit quality reporting.
Dave co-founded and served as president of Advancing Fund Governance, a forum for fund trustees and senior officers. He is also a former trustee and secretary of the Greater Cincinnati Mutual Funds Association, and former trustee and board president of the Cincinnati Shakespeare Festival. Dave enjoys running, biking and critiquing cooking shows with his wife, daughter and adult sons, and reading history and biographies.
He is a graduate of Kenyon College in Gambier, Ohio.