Compliance / Administration

At Aviance, no individual’s personal interest is more important than the reputation of our Firm.  Management is committed to maintaining the highest standards of ethics and integrity in our business dealings. We have robust guidelines and programs to enable employees to understand and avoid compliance violations on subjects ranging from our code of ethics, information protection and privacy to fiduciary responsibility.  Our Compliance function is led by Teresa A. Koncick, Esq.

Employee Compliance

Our compliance culture is anchored in our Code of Ethics. The Code is based upon our commitment to the highest standards of ethical and professional conduct.  Each year, every employee is required to complete training and acknowledge their understanding of our Code of Ethics. Our annual compliance training program also includes role specific courses which provide information to employees that help ensure adherence with laws and regulations.

Regulatory Relations

Aviance is committed to building strong relationships with regulatory agencies to ensure understanding and adherence with the ever-evolving regulatory landscape. Our Compliance team has the experience and knowledge to navigate the extensive regulatory obligations of investment advisors.

Administration and Finance

The Administration team at Aviance is led by Christopher Enger, Director of Operations.  Chris has overseen the operations and business administration of Aviance as it has grown its asset management business. 

Our Finance Manager is Robert Grant, who has provided financial and operational management in multiple settings, including the financial services industry.