Joe McDermott

Compliance Manager

  • Company:THL Credit, Inc.
  • Short Bio:Joseph D. McDermott, FRM, CSCP, is the Chief Compliance Officer (“CCO”) for Aviva Investors Americas LLC in Chicago. Prior to joining Aviva, he was the CCO for Keeley Asset Management Corp., Keeley Investment Corp. and The KEELEY Funds. Mr. McDermott spent about four years as a director with Alaric Compliance Services, LLC where he provided outsourced CCO and other compliance consulting services to investment advisers, regulated investment companies, and broker-dealers. Mr. McDermott has approximately 20 years of compliance experience and has previously served as CCO or compliance director for Driehaus Capital Management, Artisan Partners L.P., and First Trust Portfolios L.P. From 1996 to 2000, he was a Field Supervisor in the Chicago office of the NASD where he was responsible for conducting financial and operational audits of NASD registered broker/dealers. Prior to joining the NASD, Mr. McDermott was an investigator with the Chicago Board of Trade's Office of Investigations and Audits. Mr. McDermott received an M.B.A. from De Paul University and an undergraduate degree from Loras College. In addition to holding the Series 3, 4, 7, 24, 27, 53, 55, 66 and 99 licenses, Mr. McDermott also holds the Financial Risk Manager (“FRM”) designation from the Global Association of Risk Professionals and the Certified Securities Compliance Professional (
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