Foreside Financial is a financial services company that specializes in the fields of regulatory compliance, fund CCO compliance, alternative investment compliance, and consulting solutions. Its services include fund, broker-dealer and advisor compliance services, distribution consulting, and legal underwriting.

Consulting

Information Technology

Risk & Compliance

Foreside Financial Group

Foreside Financial Group's headquarters in Portland, ME, United States

Richard Berthy

Kristin Bathe

Jenni Brunner

The Leadership Team at Foreside Financial Group guides the strategic direction of the company, ensuring compliance and operational excellence across all financial services. Comprising experts in regulatory compliance, fund management, and enterprise solutions, the team collaborates to develop innovative strategies that foster growth while adhering to industry regulations. Their collective expertise drives Foreside’s commitment to providing top-tier consulting and compliance services to clients in the financial sector.

Leadership Team

The Compliance Team at Foreside Financial Group ensures that the company and its clients adhere to regulatory requirements and industry standards. This team is responsible for developing compliance policies, conducting risk assessments, and providing training to staff on compliance matters. They play a critical role in monitoring activities across various services, including fund and broker-dealer compliance, to mitigate risks and uphold the integrity of the financial services provided.

Compliance Team

The Finance and Operations Team at Foreside Financial Group is responsible for managing the company’s financial processes and ensuring regulatory compliance across various functions. This team supports corporate development through financial analysis, oversees financial operations to maintain accuracy in reporting, and provides consultancy for broker-dealer activities, enhancing the firm’s overall operational efficiency and compliance standards.

Finance and Operations Team

The Marketing and Advertising Team at Foreside Financial Group is responsible for developing and executing marketing strategies to promote the company's compliance services and consulting solutions. This includes reviewing and approving advertising materials, ensuring regulatory compliance, and enhancing brand visibility through targeted campaigns, ultimately aiming to engage clients in the financial services industry.

Foreside Financial Group

Org chart

Teams

Leadership Team

Compliance Team

Finance and Operations Team

Marketing and Advertising Team

Offices

Foreside Financial Group

Org chart

Teams

Leadership Team

Compliance Team

Finance and Operations Team

Marketing and Advertising Team

Offices

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