Biography

Shannon joined ACA in 2005. As a Partner in the Boston office, she provides regulatory and compliance consulting services to investment companies, private funds, and investment advisers. She advises clients on designing, drafting, and implementing customized compliance programs. Shannon also performs mock examinations, procedural reviews, and customized forensic testing audits to evaluate compliance with federal securities laws. In her work, she specializes in the complexities of fixed-income markets and structured securities. More recently, Shannon has worked extensively with sponsors and sub-advisers of liquid alternative registered investment companies in understanding the complexities of the Investment Company Act of 1940 and its application to non-traditional investment types and methods.  Shannon also works with a number of business development companies.  As a prominent expert on compliance issues, she also speaks frequently at conferences and has provided content and comments to industry periodicals and publications.

Shannon began her regulatory career in 2001 as a Securities Compliance Examiner with the Boston District Office of the Securities and Exchange Commission. During her SEC tenure, she led or participated in examinations of investment companies, investment advisers, hedge funds, transfer agents, and variable insurance products. She also performed extensive work on several market-timing, late-trading, and directed-brokerage cases that involved close coordination with the SEC’s Division of Enforcement.

Prior to joining the SEC, Shannon served as a Senior High Yield Analyst for Bridge Information Systems. During her time at Bridge and its predecessors, she performed analytical pricing and covenant analysis on a wide variety of fixed-income issues, including asset-backed debt, U.S. and Euro medium-term notes, and investment-grade and high-yield corporate debt.

Shannon graduated from the University of Central Oklahoma with a Bachelor of Business Administration in Finance. She also holds a graduate certificate in Forensic Accounting from Northeastern University.

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