General Counsel, Chief Compliance Officer

Bel Air Investment Advisors

Andy Dunbar joined Bel Air Investment Advisors LLC in 2015 — shortly after its acquisition by a large foreign asset manager. Joining both the firm and its Management Committee at that time, Dunbar performs a leadership role and has been instrumental in navigating and integrating, along with addressing the associated challenges, of becoming a part of a new, global ownership structure and brand. Dunbar helped the firm and its parent company implement a Board of Directors charter and structure, and currently serves as the corporate secretary. At the firm, Dunbar wears multiple hats. He is the general counsel and chief compliance officer of its affiliated broker-dealer, Bel Air Securities LLC, and also holds a FINRA license as a broker-dealer supervisor.

Given his experience, Dunbar is frequently asked to speak on compliance developments, industry best practices, SEC/FINRA enforcement developments and other matters.

Return to Index

For reprint and licensing requests for this article, CLICK HERE.