Mr. Dillon is a Director at Vigilant and has over 30 years of experience in the Financial Services and Investment Management Industry with a strong technical background in Compliance, Risk Management, and Accounting. Prior to joining Vigilant in 2022, Brian was the Chief Compliance Officer at ORIX Advisers, LLC, an SEC registered investment adviser in the private equity, private credit and CLO business. Brian also served as the Chief Compliance Officer for Mariner Investment Group, an SEC registered hedge fund manager, for a period of time while Mariner was part of the ORIX organization.
Prior to joining the ORIX organization in 2019, Brian was the Chief Risk and Compliance Officer at BrightSphere Investment Group, a publicly listed multi-boutique asset management business (NYSE: BSIG) with offices in the US, UK, and Hong Kong. While at BSIG, Brian had oversight responsibilities that included among other areas, the Investment Advisers Act of 1940, the Investment Company Act of 1940 as well as the Sarbanes-Oxley Act (SOX). During his 18 years at BSIG, Brian also served at various times as the Chief Compliance Officer for certain BSIG subsidiary companies including SEC registered investment advisers and a FINRA registered broker/dealer and also served as the 38a-1 Chief Compliance Officer for a sponsored mutual fund platform.
Brian worked earlier in his career in the Compliance Department at Delaware Investments, a mutual fund and separate account manager and in the Investment Bank and Internal Audit Department at CoreStates Financial Corp and the Philadelphia National Bank.
Brian is a hands-on pragmatic compliance and risk management professional and during his career he has reported directly to a public company board and audit committee, several mutual fund boards and audit committees, and chaired or participated on various management committees including a governance risk and compliance committee (GRC) and committees with responsibility for valuation, brokerage, best execution, soft dollars, pricing, risk management, insurance, SOX and proxy voting.
Brian graduated from the University of Scranton with a B.S. in Accounting and has previously passed the certified public accountant (CPA) examination. Brian also has a number of FINRA securities licenses including the Series 7, Series 24, Series 53, Series 65 and Series 66.