Alyson Kest

Alyson Kest is the Chief Compliance Officer and Deputy General Counsel at Spearhead.

Ms. Kest has 15+ years of legal and compliance experience within the financial services industry. Most recently, she was the Chief Compliance Officer and Counsel for WBI Investments, Inc. and its affiliates Millington Securities, Inc. and Hartshorne Group, Inc. In this role, Ms. Kest was responsible for the investment advisory and broker-dealer compliance programs across the entities.

Prior to WBI, Ms. Kest acted as compliance counsel for the investment team at Catlin, Inc. where she focused on investment rules and regulations for the global specialty insurance/reinsurance company. Before joining Catlin, Ms. Kest was designated compliance coverage for the credit sales and trading group at Macquarie after initially joining the firm’s central compliance group to help oversee the compliance program of the US broker-dealer.

Prior to Macquarie, Ms. Kest held a variety of compliance and risk roles within Morgan Stanley’s institutional sales and trading division, within both core compliance teams and in the fixed income, prime brokerage, and securities lending divisions.

Ms. Kest began her legal and compliance career as Associate General Counsel at Royal Alliance, where she focused on litigation.

Ms. Kest holds a JD from Seton Hall Law School and a BA in Communications from Marist College. Ms. Kest holds Series 7, 24, 66, and 99 registrations and is licensed to practice law in the State of New Jersey.