A pioneer in providing outsourced compliance services to investment firms, Fizza Khan is an expert on regulations governing investment advisers, broker-dealers and registered and private funds. As a hands-on leader across the firm’s flagship service lines – Regulatory Compliance, ESG and Due Diligence Preparation – Fizza ensures Silver’s clients are fully prepared to withstand regulator and investor scrutiny.
Through leadership positions at compliance consultancies, in-house legal counsel and compliance roles at various financial institutions and law firm practice, Fizza developed an approach for her clients that calibrates best practices with their business realities. Having personally handled numerous SEC examinations while in-house and as a consultant, Fizza knows how to satisfy regulator and investor expectations without creating unmanageable complexity.
Prior to founding Silver, Fizza was the Chief Operating Officer for U.S. Compliance Consulting and a Managing Director at Duff & Phelps. She joined Duff & Phelps in January 2016 as a result of their acquisition of CounselWorks LLC where she was a Partner. At both Duff & Phelps and CounselWorks, Fizza managed the day-to-day provision of compliance services to firm clients and built the foundations upon which advice was given.
Fizza developed her insider perspective from her experience at a wide range of financial institutions. As senior counsel and the U.S. Chief Compliance Officer for DKR Oasis Management, a global private investment fund manager, Fizza was responsible for all U S. regulatory matters and supervision of domestic employees. As Chief Compliance Officer for the investment management business of Sandler O’Neill Advisors, Fizza registered the firm with the SEC as an investment adviser and developed and oversaw its compliance program. She also served as the Chief Compliance Officer for the Equities Group at Sandler O’Neill + Partners and, in that capacity, was responsible for the firm’s SEC and FINRA compliance programs. In addition, Fizza managed a number of formal SEC and FINRA regulatory examinations for the Sandler firms. As in-house counsel at Deutsche Banc, Fizza advised numerous registered and private fund managers as to fund and advisory entity structuring, prepared their SEC regulatory filings and, for the registered funds, performed analysis required by the Investment Company Act of 1940. As an associate in the investment fund practice at Kramer Levin, Fizza specialized in the formation and management of registered and private funds.
Fizza received a Bachelor of Science in Business from Drexel University, where she concentrated on Finance and Economics and published a thesis on the effects of derivative trading regulation. She earned a Juris Doctor from the University of Maryland School of Law.
The crypto and digital asset space remains a growing and complex sector due to legal restrictions, as well as simultaneous increased regulatory uncertainty and scrutiny. This program aims to demystify crypto and digital assets by providing att...