Los Angeles, California
Mr. Farrell serves as OpenGate Capital’s Chief Compliance Officer. In his role, Mr. Farrell is responsible for OpenGate Capital’s compliance program as an SEC registered investment adviser.
Throughout his 20-year career within regulatory compliance, Mr. Farrell has served as a Chief Compliance Officer, an SEC examiner, and a regulatory consultant. He is a Managing Director at IQ-EQ where he is responsible for managing client relationships, providing regulatory consulting to clients, training and developing staff, and providing outsourced CCO services. Previously, Mr. Farrell served as the CCO at Greenlight Capital, Inc. where he was responsible for four SEC-registered investment advisers and one UK FCA-authorized adviser. Prior to Greenlight, Sean served as the CCO at Epoch Investment Partners, Inc. and then at Level Global Investors, LP.
Mr. Farrell began his career in regulatory compliance in 2003 at the SEC where he performed examinations of registered investment advisers and registered investment companies. After the SEC, he served as a senior principal consultant with ACA Compliance Group providing regulatory consulting services.
Before beginning his regulatory compliance career, Mr. Farrell served 6 years on active duty with the United States Air Force and continues to serve in the USAF Reserve.
Mr. Farrell earned a Master of Science in Management from the University of Maryland and a Bachelor of Science in Accounting from Rutgers, the State University of New Jersey.