Bart J. McDonald

Executive Vice President & Chief Operating Officer

Bart J. McDonald is the Executive Vice President and Chief Operating Officer of Renaissance Regulatory Services, Inc. He leads RRS’s investment advisory practice and has more than thirty years of public and private sector regulatory compliance experience. His experience includes advising and auditing investment advisers, private funds, broker-dealers, investment companies, and business development companies with respect to federal, state, and self-regulatory organization rules and regulations.

Compliance Consulting Experience

As a consultant, Mr. McDonald has conducted hundreds of compliance engagements assessing adherence to securities industry rules and regulations. His clients have included multinational investment advisers, broker-dealers, private funds, banks, law firms, and regulatory organizations. He has extensive experience in all aspects of securities regulation, including portfolio management, performance marketing, soft dollars, trading, sales practices, branch office supervision, financial audits, internal controls, and registrations. In addition, he has guided hundreds of FINRA members through the FINRA New Member and Membership Continuance processes. Mr. McDonald previously managed the broker-dealer registrations department of a major compliance consulting and outsourcing business.

SEC Regulatory Experience

As a regulator, Mr. McDonald served as a Branch Chief and Compliance Examiner with the Securities and Exchange Commission’s Southeast Regional Office. He was responsible for planning, conducting, and supervising complex financial, operational, and sales practice examinations of investment advisers, private funds, broker-dealers, and investment companies. He also managed inspections of FINRA District Offices and oversight examinations of the NYSE and FINRA. Mr. McDonald provided investigative support to the SEC’s Enforcement staff on matters involving fraudulent distributions and manipulation of securities, misappropriation of customer funds, material misrepresentations, unregistered broker-dealer and investment advisory activities, and undisclosed compensation. He also participated in several regulatory task force sweep examinations with the SEC, self-regulatory organizations, and state regulatory bodies.

Industry Presentations and Publications

Over the course of his career, Mr. McDonald has been quoted in industry periodicals and invited to speak at regulatory and industry training programs. His presentation topics include compliance program structure, portfolio management, custody, best execution, codes of ethics, soft dollars, electronic communications, and performance advertising.

Professional Affiliations and Education

Mr. McDonald is a Past President of the Florida Securities Dealers and Advisors Association. He holds the Certified Regulatory Compliance Professional designation from the FINRA Institute at Wharton, the NSCP Certified Securities Compliance Professional designation, and ACAMS’ Certified Anti-Money Laundering Specialist designation. He received a Master of Business Administration and a Bachelor of Arts in Economics from Florida Atlantic University.