Frank Giorgio

Frank Giorgio

Frank Giorgio is a Bates Group consultant with more than 20 years of compliance, operational, and accounting experience in the alternative investment space. He was the Chief Compliance Officer (CCO) for Providence Investment Management, LP from 2010 until 2017. In that role he developed, implemented, and maintained the compliance program for Providence, which was a Registered Investment Advisor with the SEC. Additional roles at Providence included mitigating key risks and control issues, acting as a key advisor, and performing work as a regulatory expert and strategist. He also coordinated the review of the firm’s compliance practices by SEC during 2012 and 2013.

Mr. Giorgio began his career in alternative investments 1995 as the Financial Accounting Manager of JP Morgan Alternative Asset Management, a fund of funds provider inside of JP Morgan. In that role, he was responsible for the financial accounting functions of the group internal commodity, hedge fund, and private equity fund of funds. He then went on to serve as a Client Service Director in Harrison, New York for GlobeOp Financial Services, a hedge fund administrator. From 2003 to 2004, Mr. Giorgio was the Chief Financial Officer (CFO) at Platinum Partners Value Arbitrage Fund, a multi-strategy fund hedge fund in based in in New York.    

From 2004 to 2010 and before moving to Providence, Mr. Giorgio was the CFO and Director of Operational Due Diligence of RBC Alternative Asset Management, an internal fund of funds investment manager. Mr. Giorgio was part of the team that formed RBC AAM and developed the operational due diligence process of the firm. He performed over 200 due diligence reviews of hedge funds for potential investment.


Credentials

EXPERIENCE

Providence Investment Management, LP, Providence, RI, Chief Compliance Officer, 2010 - 2017

RBC Alternative Asset Management, New York, NY, Chief Financial Officer and Head of Operational Due Diligence, 2004 - 2010

Platinum Partners, New York, NY, Chief Financial Officer, 2003 - 2004

GlobeOp Financial Services LLC, Harrison, NY, Client Service Director, 2002 - 2003

JP Morgan, Alternative Asset Management, 1995 - 2002

EDUCATION

Pace University, Master of Business Administration (MBA), Finance, Manhattan, NY, 1986

Villanova University, Bachelor of Science, Accounting, Villanova, PA, 1980

PROFESSIONAL LICENSING

FINRA Series 3, 7, 27, 63, 65

Automat:ee