Shanak Patnaik is a seasoned compliance and legal professional with extensive experience in the financial services industry. Currently serving as the Deputy Chief Compliance Officer at Schroder Investment Management North America since 2012, he develops and maintains compliance policies for SEC-registered investment advisers, oversees investment and distribution monitoring, and provides regulatory advice to senior management. His role includes managing relationships with regulators and overseeing broker-dealer compliance, having served as Chief Compliance Officer for a limited-purpose broker dealer and for the Swiss Helvetia Fund.
He previously worked as a consultant at NP Consulting, advising clients on the formation of privately-offered investment vehicles and compliance matters. He also held the position of Senior Counsel at The Bank of New York Mellon, where he served as the primary legal adviser to registered investment advisers and mutual funds, as well as private equity and hedge funds. Earlier in his career, he was an associate in the Capital Markets Group at Simpson Thacher & Bartlett and an associate in the Corporate/International Department at Curtis, Mallet-Prevost, Colt & Mosle.
He holds a J.D. from Fordham Law School, where he graduated cum laude, and a B.S. in Economics from the Wharton School of the University of Pennsylvania.
