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General Counsel Rob Seco shared his views on the topic with Ian Wenik of Citywire.
Rob is the Chief Legal Officer and a Partner in the New York office where he is responsible for overseeing the firm’s compliance program and all legal matters related to the organization. He is a member of the firm’s Executive Committee. Rob has more than twenty years of experience in legal and regulatory matters.
Prior to joining Cerity Partners, Rob served as Senior Counsel at MarketCounsel, a regulatory and compliance consulting firm for investment advisory firms. In his role at MarketCounsel, Rob set up and built out the compliance and regulatory structure for more than 30 SEC- and state-registered investment advisers. Rob also provided ongoing compliance and regulatory consulting and audit services to over 80 advisory firms, broker-dealers and hedge funds. In addition to his work at MarketCounsel, Rob served as an associate at the Hamburger Law Firm concentrating his practice in the areas of the regulation and compliance of investment advisers and broker-dealers, private investment fund formation and general corporate counsel. Before his work at MarketCounsel and the Hamburger Law Firm, Rob worked as an associate in the capital markets group of the international law firm Cadwalader, Wickersham and Taft, LLP. While in law school, Rob received the Outstanding Brief Award at the 15th Annual Duberstein Moot Court Competition and served as a judicial extern to The Honorable Patrick F.X. Fitzpatrick, J.S.C. in the New Jersey Superior Court.
Rob earned a Bachelor of Arts in Political Science with Honors from Seton Hall University. He earned his Juris Doctor from Rutgers University School of Law-Newark. He is admitted to the Bars of New York and New Jersey.
Robert C. Smith
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