Manoj “Tito” Pombra

President

  • Company:Core Compliance & Legal Services, Inc.
  • Short Bio:Tito Pombra is the President of Core Compliance & Legal Services, Inc. (“Core Compliance”), a compliance consultation firm which services broker-dealers, registered investment advisers, hedge funds, private funds, investment companies, and financial professionals. Over the years, Mr. Pombra has garnered extensive experience in the global asset management industry, which includes over twenty-two years in the Investment Company/Investment Adviser and international compliance areas. Mr. Pombra specializes in investment company and investment adviser regulatory compliance programs. His consultation practice is focused on the areas of regulatory exams, annual reviews, creating a strong culture of compliance, policies and procedures development, testing of compliance programs, performance advertising, and mentoring and training compliance professionals. His industry experience encompasses the many facets of compliance, alongside its evolution. Mr. Pombra understands the multiple complexities of any firm’s regulatory requirements and has found a unique approach to meet both business demand as well as technology’s continuous advancement. Throughout his compliance career he has maneuvered alongside industry trends and emerging regulatory requirements to implement compliance technology solutions which includes email and social media surveillance, performance advertising, conflicts reviews, portfolio and personal trading and more. Mr. Pombra’s focus in International Compliance Programs is the cornerstone to his career, as he is well-versed in the Undertakings of the Collective Investment in Transferable Securities (UCITS) compliance requirements, distribution reviews and Anti-Money Laundering Programs for International Funds.
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