Tito Pombra has extensive experience in the global asset management industry, which includes 25 years in the investment company/investment adviser and international compliance areas. His areas of expertise include regulatory exams, outsourced CCO support, annual reviews, mock SEC exams, creating a strong culture of compliance, policies and procedures development, advertising and marketing reviews, NFA/CFTC compliance, and mentoring and training compliance professionals. He is the founder and president of Adviser Compliance Consulting.
Before founding ACC, Tito was president of Core Compliance and Legal Services, where he led the compliance consulting practice to identify and execute new business strategies that resulted in significant new client acquisitions and growth. In addition, he provided proactive compliance advice to clients on Rule 206(4)-7, Rule 38a-1 and private fund compliance programs. He also established policies and procedures, completed annual reviews, and provided mock SEC exams, risk assessments and compliance training for a variety of investment advisers.
• Co-Chair of the San Francisco Bay Area CCO Committee
• Former Board of Director, National Society of Compliance Professional (NSCP) and current member of NSCP
• Former member, Investment Company Institute’s CCO Committee
• Former CCO of large investment adviser and mutual fund
From 2005 to 2018, Tito served as chief compliance officer of Matthews International Capital Management, LLC (Matthews Asia) and Matthews International Funds (DBA Matthews Asia Funds). As CCO for Matthews Asia and Matthews Asia Funds, he was responsible for creating and managing the compliance and anti-money laundering programs of the investment company, investment adviser and offshore funds, and assisted with the compliance programs of Matthews Global Investors’ Hong Kong and U.K. registered broker-dealers. In addition, he oversaw the Matthews Asia Funds service provider’s compliance program under Rule 38a-1. During his tenure, Tito was also the AML Officer for the Matthews Asia Funds and MLRO for the Matthews Asia Funds (Luxembourg).
Tito has held various senior compliance and accounting positions at Franklin Templeton Investments and Dreyfus Funds. He graduated from Queens College in 1987 with a bachelor’s in accounting and economics.
Over the past 23 years, Tito has become a thought leader on compliance best practices. He is co-chair of the San Francisco Bay Area CCO Committee and a former member of the board of directors of the National Society of Compliance Professionals (NSCP) and the Investment Company Institute’s (ICI) CCO committee.