Gregory L. Florio is a Founding Partner of Florio, Scally & Leahy LLP and a Founding Member of Orical LLC (collectively, the “Firm”), with over 18 years of legal and regulatory experience. Mr. Florio is an expert in compliance programs as well as regulatory examinations and investigations for both investment advisers and broker-dealers. He has extensive experience forming and registering investment funds in state, federal, and numerous foreign jurisdictions. Mr. Florio helps Firm clients establish compliance manuals, including Codes of Ethics, supervisory procedures, and operational controls. On an ongoing basis, he provides operations reviews, audits compliance programs, and tests the adequacy and implementation of policies, procedures, and clients’ compliance programs as a whole. Mr. Florio also directs the Firm’s technical solutions effort, which maintains, augments, and customizes each client’s compliance and monitoring capabilities.
Before founding the Firm in 2010, Mr. Florio was a senior counsel and the Chief Compliance Officer of a multi-billion dollar global fund manager, Marathon Asset Management, LP. At Marathon, Mr. Florio administered and enhanced all aspects of the firm’s global compliance program, including transitioning the program to an electronic-based, state-of-the-art system. In addition to handling all regulatory audits, inquiries, and filings, he worked on various legal and operational matters that affected the firm’s daily operations.
Before joining Marathon, Mr. Florio was a regulatory specialist in Seward & Kissel LLP’s Investment Management Division and an attorney for the Investment Funds Group at Sidley Austin LLP. At Sidley Austin and Seward & Kissel, Mr. Florio represented many leading financial institutions, helped register broker-dealers and investment advisers, and advised private funds on compliance, legal, regulatory, formation, and operational matters. He began his career in Bronx County, New York as an assistant district attorney after graduating from Fordham University School of Law, with honors, in 1995. Mr. Florio also holds a Bachelor’s degree in Consumer Economics from Cornell University and is a member of the New York State Bar Association.