Steven is a Vice President at Goldman Sachs covering the Asset Management for the Compliance Division. Specifically, Steven leads a team that covers the Alternative Investments and Manager Selection investment team. Prior to joining Goldman Sachs, Steven was a manager on Constellation Adviser's Regulatory & Compliance Team. At Constellation, Steven worked with SEC registered investment advisers, exempt reporting advisers and NFA member firms on regulatory compliance requirements, structures and programs, ongoing compliance monitoring, testing protocols and the management and coordination of regulatory exams and reviews. Steven has experience in the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities and Exchange Act of 1934, SEC rules and regulations, FINRA rules and regulations, CFTC/NFA rules and regulations, and relevant regulatory filings, in addition to experience with SEC Audits and NFA Examinations.
Prior to joining Constellation, Steven was a Legal Specialist at Allianz Global Investors. In this role he worked on a variety of legal issues encompassing the Investment Company Act of 1940, state lobbying/gift laws, corporate governance and other securities laws. Steven started his legal career at AllianzGI as a summer intern in 2013.
Prior to that, Steven was the Legislative Director to New York Assemblyman Charles Lavine. While at the Assembly, Steven oversaw the passage of over thirty bills through both houses of the Legislature.
A former small business owner, Steven incorporated eCampaign Solutions and provided social media consulting for clients ranging from an elected state official to a city court judge. He was recognized by City and State as a "40 under 40" Rising Star in 2014. Steven earned his Bachelor’s Degree in History from the University at Albany and his Juris Doctor from Albany Law School. He is a licensed attorney in New York.