Joan Marie Asher, CIFD, IACCP

Joan Marie Asher, CIFD, IACCP

Joan Marie Asher is a consulting expert at Bates Group and the Founding Director of Paragon Fund Services, a boutique fractional service provider and advisory firm. She has dual citizenship in the United States and the European Union, where she engages with numerous financial institutions, fund administrators, legal teams, vendors, and clients throughout the United States and abroad in various investment related activities.

Joan’s career in financial services includes capital markets, hedge funds, broker dealers, and private equity. One highlight during her career was that she safely navigated one of her firms through the 2008 global financial crisis dealing with some of the most unprecedented happenings in financial history. She has more than 25 years of experience at several top-tier financial firms where she has successfully served in roles such as Chief Operating Officer, Chief Financial Officer, and Chief Compliance Officer. Her experience includes compliance and governance, risk management, operational due diligence, and the oversight of third-party service providers. This knowledge helps her identify and mitigate risks, gaps, conflicts of interest, and create strategic action plans.  With her steady demeanor, despite the rapidly changing business conditions we see today, her highly organized nature and inherent leadership mindset enable Joan to see all the moving parts of a business to help it reach its overall strategic objective in accordance with industry best practices.

Joan is an Investment Advisor Certified Compliance Professional (IACCP) and one of only four women in the United States to hold a Certified Investment Fund Director (CIFD) designation, which is the premier qualification for investment fund directors. The CIFD designation raises professional standards in investment fund governance internationally. She earned a Bachelor of Science degree in Finance from Fairfield University’s Charles F. Dolan School of Business where she was co-President of Alpha Sigma Lambda Honor Society. She serves as an advisor to EndowBridge Capital and is Board Member of C-Gate Consulting Group (Los Angeles, CA). She also served as a subject matter expert to National Regulatory Services in reading, writing, and reviewing questions for the IACCP exam.

As she places importance on giving back, Joan served as Chairman of the Connecticut chapter of The American Institute of Wine and Food, Treasurer of Stamford Dollars for Scholars. She also served as a student mentor through Fairfield University’s Alumni Job Shadow Program. In addition, Joan is a Stephen Minister where she provides confidential one-on-one care to individuals facing a crisis or life challenge.


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Joan Marie Asher, CIFD, IACCP

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Broker Dealer (B-D)
      • Corporate Governance
      • Fiduciary Duties/Responsibilities
      • Fraud
      • Hedge Funds
      • Industry Standards
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • Private Equity
      • Registered Investment Advisers - RIAs
      • Risk Management
      • Senior Investors
      • Alternative Investments
      • Hedge Funds
      • Industry Standards
      • Operations
      • Operations & Controls
      • Private Equity
      • Risk Management
      • AML & Financial Crimes
      • Compliance Solutions
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Broker Dealer (B-D)
      • Corporate Governance
      • Fiduciary Duties/Responsibilities
      • Fraud
      • Hedge Funds
      • Industry Standards
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • Private Equity
      • Registered Investment Advisers - RIAs
      • Risk Management
      • Senior Investors
      • Alternative Investments
      • Hedge Funds
      • Industry Standards
      • Operations
      • Operations & Controls
      • Private Equity
      • Risk Management
      • AML & Financial Crimes
      • Compliance Solutions
  • AML & Financial Crimes
    • Fraud & Risk Management
    • Valuation
  • Compliance Solutions
    • Broker-Dealers
    • Registered Investment Advisers
    • Compliance Testimony

Credentials

EXPERIENCE

Paragon Fund Services, Founding Director, Stamford, CT, 2016 – Present

Salus Finance/Adminahealth, Chief Operating Officer, Greenwich, CT, 2020

Moody Aldrich Partners/Harvest Funds Management, Chief Operating Officer, Chief Compliance Officer, Marblehead, MA, 2013 – 2016  

Hedgebay Securities, Chief Operating Officer, Chief Financial Officer, Westport CT, Geneva CH, 2011 – 2013

Pepsico, Inc, Treasury Consultant, Purchase, NY, 2010 – 2011  

Weston Capital Management, LLC, Treasurer, Westport, CT, 1998 – 2009  

Greenwich Capital Markets (RBS), Senior Analyst, Greenwich, CT, 1993 – 1998  

Primary Broker/Dealer of U.S Governments Securities, Mortgage-Backed Securities, FX

EDUCATION

Bachelor of Science (B.S.), Finance, Fairfield University Charles F. Dolan School of Business, Fairfield, CT; Alpha Sigma Lambda National Honor Society (co-President)

PROFESSIONAL QUALIFICATIONS/LICENSING

Certified Investment Fund Director Institute, Dublin, IRL - Graduate (2018) and Member

Investment Adviser Certified Compliance Professional

CAIA Certificate – Fundamentals of Alternative Investments

QuickBooks Desktop and QuickBooks Online