Leading Adviser Awards 2020

28 Acquisition International - Leading Adviser 2020 Acquisition International - Issue 1 2021 125 Creating Customized Solutions ituated on Lexington Avenue, New York, Orical LLC is a leading provider of solutions informed by industry knowledge of regulatory and compliance issues facing investment advisors, private funds, and broker-dealers around the world. Orical’s team of investment professionals work with investment managers to create customized and efficient programs of solutions that are effective, scalable, and easy-to-use. The firm’s services are applied with the support of the team’s technical expertise in a variety of sectors within investment, including Compliance Monitoring, Code of Ethics Administration, Risk Management, Financial Reporting, Counterparty Monitoring, Human Resources, Trade Capture and Allocation. Providing timely, hands-on, and practical advice that is applicable to the real-world issues faced by investment advisors, Orical also understands the often inconsistent and expensive costs of obtaining quality assistance such as this. Therefore, unlike many of their competitors, Orical typically negotiates flat cost-effective rates for its services from the initial Investment Adviser registration process through monthly flat rates for compliance monitoring and advice. This includes the development of customized compliance programs and manuals, Code of Ethics and other compliance documentation, as well as the conducting of mock audits pursuant to the regulations of the SEC, CFTC, NFA, and FINRA. The extensive experience and insights garnered by the Orical team is acquired by each member’s personal understanding of how a business is run day-to-day. Prior to joining Orical, the professionals were each employed as senior counsel and Chief Compliance Officers for a variety of Investment Advisory firms which boast vast compliance and operational infrastructures. This experience is employed alongside a keen eye on recent technological advancements to enhance the same infrastructures within Orical. Meanwhile the team’s expertise in software development facilitates the creation of a vast array of customized solutions for their clients, which augment productivity, transparency, and accuracy across many crucial business areas. A Founding Member of Orical and founding Partner to the firm’s partner, Florio Leahy LLP, Gregory Florio brings over twenty-one years of legal and regulatory experience to the role as an expert in investment adviser and broker-dealer compliance programs, regulatory examinations, and investigations. Mr. Florio also boasts extensive registration and fund formation experience with state, federal, and various international jurisdictions and as such, assists his clients in establishing compliance manuals and Code of Ethics, supervisory procedures and operational controls, as well as providing independent operations reviews, compliance audits and testing. S Led by Founding Member, Gregory Florio, Orical LLC is a team of investment professionals that strives to create technically sound and effective solutions to regulatory and compliance issues encountered by investment managers around the world. We took a closer look at the experienced team of professionals behind this New York-based firm. Oct20894 Mr. Florio’s experience at Marathon Asset Management LP prior to establishing Florio Leahy in 2010 equipped him to lead the firm in creating technical solutions that increase a client’s compliance and conflicts monitoring capabilities. Whilst at Marathon, Mr. Florio oversaw the firm’s whole global compliance program and its transition into a cutting-edge electronic system that handled all regulatory audits, inquiries, and filings, and assisted in various legal and operational matters affecting the firm’s day-to-day operations. Today, he works alongside Mr. James Leahy, with whom he has collaborated since their days at Marathon, as the head of Orical. With an ongoing commitment to providing practical compliance solutions with world-class operational support, Orical is looking forward to a long future of assisting their clients across the globe in pursuing their ambitions in investment. Company: Orical LLC Website: www.orical.org Orical is looking forward to a long future of assisting their clients across the globe in pursuing their ambitions in investment. Leading Investment Regulat ry and Compliance Advisor of the Year, New York