Author
Throughout his 20-year career in regulatory compliance, Sean Farrell has served as a regulatory consultant, a Chief Compliance Officer (CCO), and a Securities and Exchange Commission (SEC) examiner. Before joining AlphaSense, Sean founded Sentinel Regulatory Compliance, LLC, where he was responsible for all client-facing matters while providing internal control design, regulatory compliance reviews, regulatory gap analysis, regulatory examination assistance, employee training and development, and outsourced CCO services. Sean also served as a Managing Director at IQ-EQ where he managed client relationships, provided regulatory consulting to clients, trained and developed staff, and provided outsourced CCO services. Prior to IQ-EQ, Sean was the CCO of Greenlight Capital, Inc. and its affiliated entities. He oversaw all domestic and foreign regulatory compliance matters for four SEC-registered investment advisers and one adviser authorized by the UK’s Financial Conduct Authority (FCA). Sean began his career in regulatory compliance at the SEC where he performed examinations of registered investment advisers and registered investment companies.
