Bradley Swenson, Chief Compliance Officer
Professional Overview
Bradley Swenson is an accomplished compliance and operations executive with over 25 years of experience in the financial services industry. As the Chief Compliance Officer at Paralel Technologies, he is responsible for overseeing the firm's regulatory compliance programs, ensuring adherence to industry standards, and mitigating operational risks.
Experience Summary
Current Roles
Chief Compliance Officer, Paralel Technologies (2022 - Present)
- Spearheads the development and implementation of robust compliance policies and procedures to safeguard the firm's operations and protect client interests.
- Collaborates closely with cross-functional teams to identify and address potential compliance risks, implementing effective controls and monitoring systems.
- Serves as the primary liaison with regulatory bodies, proactively addressing inquiries and ensuring timely reporting of all required information.
President, Paralel Distributors LLC (2022 - Present)
- Provides strategic leadership in driving the growth and expansion of the firm's distribution platform, focusing on the delivery of innovative investment solutions to clients.
- Oversees the development and execution of comprehensive sales and marketing strategies to enhance the company's market presence and brand visibility.
President and Trustee, Elevation Series Trust (2022 - Present)
- Leads the oversight and governance of the Elevation Series Trust, ensuring the fund's investment objectives, policies, and strategies are aligned with the best interests of shareholders.
- Collaborates with the Board of Trustees to monitor fund performance, review compliance with regulations, and make strategic decisions to maintain the trust's competitive edge.
Career Progression
Member, Board of Trustees, ALPS Series Trust (2021 - 2022)
President, ALPS Series Trust (2019 - 2021)
President and Head of Registered Fund Services, ALPS, A DST Company (2019 - 2021)
Chief Operating Officer, ALPS, A DST Company (2014 - 2019)
Chief Compliance Officer, ALPS, A DST Company (2004 - 2014)
Throughout his career, Bradley has demonstrated a strong track record of driving operational excellence, implementing effective compliance programs, and contributing to the growth and success of the organizations he has served. His progressive leadership roles at ALPS, a leading provider of asset management and fund administration services, have equipped him with a deep understanding of the registered funds industry and the evolving regulatory landscape.
Academic Background
Bradley holds a Bachelor of Science degree in Finance from the University of Colorado Boulder, where he graduated with distinction.
Areas of Expertise
- Compliance program development and oversight
- Registered investment fund management and administration
- Operational risk management and control
- Regulatory reporting and liaison with government agencies
- Strategic leadership and organizational transformation
Professional Impact
During his tenure at ALPS, Bradley played a pivotal role in strengthening the firm's compliance framework and operational infrastructure, contributing to its reputation as a trusted partner for asset managers and fund sponsors. He has been actively involved in industry associations, sharing his expertise and insights to enhance compliance best practices across the financial services sector.
Conclusion
With his extensive experience, strong compliance acumen, and a proven track record of driving operational excellence, Bradley Swenson is well-positioned to contribute to the continued success and growth of Paralel Technologies. His dedication to upholding the highest standards of regulatory compliance and his commitment to delivering innovative solutions make him a valuable asset to the firm and its clients.
