Mittleman Investment Management, an SEC-registered investment advisor wholly-owned by Mittleman Brothers, has hired Laura Kate Garner as chief compliance officer. She replaces Shannon Brown, who resigned from the company earlier this year to devote herself full-time to her family.
As compliance officer, Garner will be responsible for the ongoing development and oversight of the firm’s compliance policies and procedures. Garner, who has 14 years of experience in asset management compliance, joins the firm from AIG Investments, where she was compliance manager, supervising the core compliance functions for the registered investment advisor, AIG Asset Management (U.S.), and managed a team of compliance analysts to oversee allocations, anti-money laundering, best execution, code of ethics, privacy and regulatory reporting, and e-mail surveillance.
Prior to AIG, Garner was senior compliance analyst at Jennison Associates, where she was responsible for advisory compliance functions including anti-money laundering, policies and procedures, training, regulatory reporting and managing staff that covered code of ethics and compliance reporting for proprietary and third-party mutual fund sub-advisory clients. Garner was previously compliance associate at BlackRock. She started her career in the investment business in 1999 at Prudential Bank.