Steven Rawlings

Steve Rawlings brings over 25 years of experience in the securities industry to his role as Chief Compliance Officer and General Counsel. His career includes 20 years of distinguished service at the U.S. Securities and Exchange Commission (SEC) and eight years at a leading New York law firm.

Most recently, Steve served as Assistant Regional Director in the SEC’s Division of Enforcement in New York, where he led some of the agency’s most high-profile investigations and enforcement actions. His work spanned Ponzi-like schemes, valuation and disclosure issues, naked short selling, algorithmic trading, and investment advisory cases—often in close collaboration with the Asset Management Unit and Division of Exams.

Steve was a founding member of what is now the SEC’s Complex and Financial Instruments Unit, where he led teams investigating misconduct stemming from the credit crisis, including cases against collateral managers and investment banks. His contributions have been recognized with the Chairman’s Award for Investor Protection and multiple Enforcement Director Awards.

He holds a law degree from Washington University School of Law