Jeff Smith oversees Research Affiliates’ compliance program, assists the chief legal officer, and supports the legal and compliance team.
Previously, he served as director of compliance at Athene Asset Management, LLC, a subsidiary of Apollo Global Management, where he managed Athene’s regulatory and investment compliance programs. Jeff also has worked as senior counsel in the legal and compliance department for the Rock Creek Group, LLC; served as an investigative attorney for the Financial Crisis Inquiry Commission; assisted in investigations at the U.S. Securities and Exchange Commission in the office of the director of enforcement; was the legal officer, risk officer, and compliance team leader for a national investment advisor and broker/dealer; and was the managing attorney at a regional law firm focused on securities, corporate, tax, and real estate law.
Jeff holds the Certified Regulatory and Compliance Professional designation from the Wharton School of Business as well as the Investment Adviser Certified Compliance Professional designation. He is also a Certified Risk Manager.
Jeff received a BS in accounting, with honors, from the University of Kentucky Gatton School of Business and Economics and a JD from the University of Kentucky College of Law. He also received an LLM with distinction in securities and financial regulation from the Georgetown University Law Center, where he was the founder and chairman of the Securities & Financial Law Organization.
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