Michael Gozzillo
Chief Compliance Officer at VanEck | New York, New York, United States
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Michael Gozzillo serves as the Chief Compliance Officer at VanEck Associates Corporation, where he plays a pivotal role in ensuring that the firm adheres to the complex regulatory landscape governing investment companies and broker-dealers. With a deep specialization in compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940, Michael is instrumental in developing and administering comprehensive compliance programs tailored to the unique needs of VanEck's diverse investment vehicles, including mutual funds, ETFs, and limited-purpose broker-dealers.
In his current role, Michael oversees compliance matters across several entities, including VanEck Absolute Return Advisers Corporation, VanEck Vectors ETF Trust, and VanEck Funds. His responsibilities encompass the implementation of Rule 38a-1 compliance programs, mutual fund advertising compliance, and service provider oversight, ensuring that all operations align with regulatory requirements. Michael's expertise extends to conducting regulatory exams and implementing robust compliance testing programs, which are essential for identifying and mitigating potential risks.
Key projects under his leadership include enhancing mutual fund board reporting processes and refining compliance frameworks to adapt to evolving regulations. His proactive approach to compliance not only safeguards the integrity of the firm but also fosters a culture of transparency and accountability. With a strong foundation in securities and fund administration, coupled with his Series 7, Series 63, and Series 24 licenses, Michael Gozzillo is a trusted authority in the compliance domain, dedicated to navigating the complexities of the financial services industry while upholding the highest standards of regulatory adherence.
Chief Compliance Officer at VanEck in January 2018 to Present
Senior Vice President, Chief Compliance Officer at City National Rochdale, LLC in December 2012 to January 2018
Director, Compliance Officer (Mutual Funds); Chief Compliance Officer, TC Life Separate Accounts at TIAA-CREF in September 2008 to December 2012
Chief Compliance Officer, Mutual Funds at Managers Investment Group in November 2001 to September 2008
President at Investment Compliance Solutions in February 2000 to September 2001
President at Strategic Fund Services, Inc. in July 1998 to February 2000
Client Relationship/Fund Administrator at Investors Capital Services in May 1995 to July 1998
Assistant Vice President Fund Accounting at Delaware Group of Funds in September 1993 to September 1994
Fund Accountant, Supervisor, Manager at The Vanguard Group of Funds in July 1984 to September 1993
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Temple University
University of Phoenix, Bachelor of Science
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Broker-Dealer Compliance
ETFs
Securities
Mutual Funds
Fund Accounting
Series 7
Series 6
Mutual Fund & Adviser Compliance Programs
Fund Administration
Series 26
Mutual Fund Board Reporting
Service Provider Oversight
Rule 38a-1
Rule 206(4)-7
FINRA
Asset Managment
Due Diligence
Investments
Financial Services
Asset Management
Series 63
Alternative Investments
Hedge Funds
Equities
Fixed Income
Series 24
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Discover more about VanEckWhat is Michael Gozzillo email address?
Email Michael Gozzillo at [email protected] and [email protected]. This email is the most updated Michael Gozzillo's email found in 2026.
How to contact Michael Gozzillo?
To contact Michael Gozzillo send an email to [email protected] or [email protected]. (updated on August 26, 2024)
What company does Michael Gozzillo work for?
Michael Gozzillo works for VanEck
What is Michael Gozzillo's role at VanEck?
Michael Gozzillo is Chief Compliance Officer
What is Michael Gozzillo's Phone Number?
Michael Gozzillo's phone (212) ***-*350
What industry does Michael Gozzillo work in?
Michael Gozzillo works in the Financial Services industry.
Michael Gozzillo Email Addresses
Michael Gozzillo Phone Numbers
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