Todd Harpo Joseph

Todd Harpo Joseph has a diverse work experience in various compliance and auditing roles. Todd Harpo started their career at the National Futures Association, where they served as a Regulatory Compliance Manager and conducted financial and regulatory compliance audits. Todd Harpo then moved on to Spicer Jeffries LLP, where they worked as an Audit Senior, performing CPA audits for various clients including broker/dealers, hedge funds, and Forex funds. At Great West Life & Annuity, Todd held the role of Sr. Investments Compliance Analyst, where they performed investment compliance testing and completed financial reporting for SEC registered mutual funds. Todd Harpo then joined Nuveen as AVP, Risk and Testing, responsible for compliance testing and risk assessment. Todd Harpo'sresponsibilities included evaluating controls, conducting on-site reviews, and presenting results to senior management. Currently, Todd works at Waterton as the Chief Compliance Officer.

Todd Harpo Joseph attended Indiana University Bloomington from 1992 to 1996, where they earned a Bachelor of Science degree in Accounting.