Staff

Jeff Groves - President
Mr. Groves currently consults broker dealers and investment advisers on various issues regarding SEC and NASD regulations and assists in the preparation for regulatory audits. Mr. Groves has 17 years of industry experience that include positions as Chief Compliance Officer and Chief Administrative Officer for an investment adviser and a broker dealer. Mr. Groves has achieved a NASD/Wharton certification as a Certified Regulatory and Compliance Professional (CRCP). Prior to his current position with ComplianceWorks Inc., Mr. Groves was with a dually registered hedge fund that consisted of an investment adviser and a broker dealer (Helix Investment Partners LLC and Helix Trading LLC). In addition to being CCO and CAO of Helix, he was in charge of the production and sale of a corporate bond research product and also traded equities. As a result of his tenure at Helix, Mr. Groves holds the Series 24, 4, 7, 55, 63 and 65 designations. Mr. Groves has a Bachelor of Science from California State University, Fullerton.

Phillip A Faigley - Consultant
Mr. Faigley currently consults investment advisors and broker dealers on various compliance and back office and operational issues and assists in research and settlement processing of security class action suits. Mr. Faigley has 20 years of industry experience that includes the position of Chief Operations Officer for an investment advisor and an affiliated broker dealer. Prior to his current position, Mr. Faigley spent 11 years with a dually registered hedge fund manager (Helix Investment Partners LLC and Helix Trading LLC) and 5 years with the predecessor start-up investment advisor. As a result of his tenure at Helix, Mr. Faigley holds the Series 2, 27, 63, 65 designations. Mr. Faigley also has experience with Scudder, Stevens & Clark, Marine Midland Bank, and Honeywell’s Commercial Construction Division. Mr. Faigley also served for over 5 years as an officer in the United States Marine Corps. Mr. Faigley has a Bachelor of Science (Physical Science) degree from the United States Naval Academy, a Masters of Science in Industrial Administration (Operations Research) from the Graduate School of Industrial Administration, Carnegie-Mellon University, and an Advanced Professional Certificate (Finance) from the Graduate Business School, New York University.