Christopher Mendez

Christopher Mendez has been the CCO at UP Fintech Asset Management since September, 2020. He has over 14 years of legal and compliance experience serving as an investment management lawyer and GC/CCO. Christopher has managed the legal and compliance functions across several asset classes and fund structures, including registered and private closed-end fund vehicles and institutional separate accounts. He has successfully navigated strategic business initiatives, including launching several fund platforms and structures across key jurisdictions, including the United States, United Kingdom, Cayman Islands, Luxembourg, and Ireland.

Christopher’s areas of expertise and interest span the broader investment management industry, including advising on investment adviser and broker-dealer legal and compliance matters, along with other industry standards of practice. Christopher has overseen and managed all aspects of adviser compliance programs and has been on executive management teams advising on business strategy and firm management matters, as well as an investment and risk committee member. He regularly partners with portfolio management, operations, accounting, investor relations and marketing teams providing legal and compliance guidance on portfolio management and firm operational matters.

Christopher's peers laud him for his industry knowledge, as well as his relationship development skills and work ethic. He has a strong network of key industry service providers. Christopher is a frequent speaker at industry conferences on legal, compliance, and operational matters, most recently as a return panelist at the GAIM Ops Alternative Investments Conference in California and the Alternative Investments General Counsel Summit in New York where he was on panels discussing "End of Life Issues for Closed End Funds" and "What’s on the Horizon – The Risks with Alternative Fund Structures."

Christopher began his career at The Vanguard Group in 2006 after serving in the U.S. Marine Corps. He advises several emerging asset management firms and venture capital funds. He serves on the Board of Directors of Volunteers of Legal Service and is the Co-Founder of LunaCap Foundation. Christopher holds a J.D. from Rutgers Law School and BBA from Temple University where he focused his studies on International Business.