Thayne Gould, MBA
Thayne Gould, MBA
Mr. Thayne Gould is a Director at Vigilant and is responsible for developing, testing, and monitoring compliance programs for investment advisers, broker-dealers, and registered investment companies. He has extensive knowledge and application of the Investment Advisors Act of 1940, Securities Act of 1933, and state securities laws.
Thayne has over 25 years of investment management industry experience with firms such as T. Rowe Price and PNC Capital Advisors. His duties have included product management, marketing, and compliance functions and he has been responsible for oversight of both broker-dealer and investment adviser activities for a $1-trillion fund complex, 700-person marketing and distribution organization, and the activities of a $50-billion institutional asset manager. He has significant experience with various SEC and state filings, supported examinations, and been point of contact for the Staff and other regulators.
Most recently, he was Chief Compliance Officer for Jemma Investment Advisors, a wealth manager, and Cromwell Investment Advisors, an adviser to registered investment companies. He was responsible for development, testing, and maintenance of their compliance programs, including investment adviser representative and client account oversight, sub-adviser due diligence and oversight, and vendor selection and management.
Thayne holds the FINRA Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 7 (General Securities Representative), Series 6 (Investment Company and Variable Contracts Representative), Series 66 (Uniform Combined State Law), and Series 63 (Uniform Securities Agent State Law).
Thayne earned a Bachelor of Science in Economics from Towson University and a Master of Business Administration from Loyola University Maryland.