Sean Farrell
Compliance Officer at OpenGate Capital Management LLC
Profile
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, Mr. Farrell 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 six 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.
Sean Farrell active positions
| Companies | Position | Start |
|---|---|---|
OpenGate Capital Management LLC
 OpenGate Capital Management LLC Investment ManagersFinance OpenGate Capital Management LLC (OpenGate Capital) is a private equity firm founded in 2005 by Andrew Nikou. The firm is headquartered in Los Angeles, California with an additional office in Paris, France. | Compliance Officer | - |
IQ EQ (Luxembourg) SA
 IQ EQ (Luxembourg) SA Miscellaneous Commercial ServicesCommercial Services IQ EQ Luxembourg SA engages in the provision of compliance, administration, and asset services to alternative investment funds, international corporations, high-net-worth individuals (HNW) families, and entrepreneurs. The firm also provides fund, private client, and corporate solutions. The company was founded in 1953 and is headquartered in Luxembourg. | Private Equity Investor | - |
Former positions of Sean Farrell
| Companies | Position | End |
|---|---|---|
ACA Compliance Group Holdings LLC
 ACA Compliance Group Holdings LLC Investment ManagersFinance ACA Compliance Group Holdings LLC engages in the provision of governance, risk, and compliance advisory services. The company was founded by Ted Eichenlaub, Jeffrey C. Morton, Barry Schwartz, Gary Watkins and Robert Louis Stype, Jr. in February 2002 and is headquartered in New York, NY. | Consultant / Advisor | - |
| US Securities & Exchange Commission | Compliance Officer | - |
Epoch Investment Partners, Inc.
 Epoch Investment Partners, Inc. Investment ManagersFinance Epoch Investment Partners, Inc. (Epoch) is a SEC-registered investment advisor headquartered in New York City. The firm was founded by Bill Priest and David Pearl in 2004. They are a subsidiary of TD Bank US Holding Co., ultimately owned by The Toronto-Dominion Bank (NYSE: TD) in Canada. Epoch provides investment advisory services to primarily institutional clients. | Compliance Officer | - |
Level Global Investors LP
 Level Global Investors LP Investment ManagersFinance Founded in 2003 by David Ganek, Level Global Investors LP is hedge fund manager located in New York City. They manage the Level Global LP, the Level Global Overseas Ltd. and the Level Global Overseas Master Fund Ltd. | Corporate Officer/Principal | - |
Greenlight Capital, Inc.
 Greenlight Capital, Inc. Investment ManagersFinance Greenlight Capital, Inc. is an independent, SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded by David Einhorn in 1996. Greenlight Capital provides investment advisory services to the Greenlight “Capital Funds”. | Compliance Officer | - |
Training of Sean Farrell
| University of Maryland | Graduate Degree |
| State University of New Jersey | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 7 |
|---|---|
OpenGate Capital Management LLC
OpenGate Capital Management LLC Investment ManagersFinance OpenGate Capital Management LLC (OpenGate Capital) is a private equity firm founded in 2005 by Andrew Nikou. The firm is headquartered in Los Angeles, California with an additional office in Paris, France. | Finance |
IQ EQ (Luxembourg) SA
IQ EQ (Luxembourg) SA Miscellaneous Commercial ServicesCommercial Services IQ EQ Luxembourg SA engages in the provision of compliance, administration, and asset services to alternative investment funds, international corporations, high-net-worth individuals (HNW) families, and entrepreneurs. The firm also provides fund, private client, and corporate solutions. The company was founded in 1953 and is headquartered in Luxembourg. | Commercial Services |
Greenlight Capital, Inc.
Greenlight Capital, Inc. Investment ManagersFinance Greenlight Capital, Inc. is an independent, SEC-registered investment advisor and hedge fund manager headquartered in New York City. The firm was founded by David Einhorn in 1996. Greenlight Capital provides investment advisory services to the Greenlight “Capital Funds”. | Finance |
Epoch Investment Partners, Inc.
Epoch Investment Partners, Inc. Investment ManagersFinance Epoch Investment Partners, Inc. (Epoch) is a SEC-registered investment advisor headquartered in New York City. The firm was founded by Bill Priest and David Pearl in 2004. They are a subsidiary of TD Bank US Holding Co., ultimately owned by The Toronto-Dominion Bank (NYSE: TD) in Canada. Epoch provides investment advisory services to primarily institutional clients. | Finance |
Level Global Investors LP
Level Global Investors LP Investment ManagersFinance Founded in 2003 by David Ganek, Level Global Investors LP is hedge fund manager located in New York City. They manage the Level Global LP, the Level Global Overseas Ltd. and the Level Global Overseas Master Fund Ltd. | Finance |
| US Securities & Exchange Commission | Finance |
ACA Compliance Group Holdings LLC
ACA Compliance Group Holdings LLC Investment ManagersFinance ACA Compliance Group Holdings LLC engages in the provision of governance, risk, and compliance advisory services. The company was founded by Ted Eichenlaub, Jeffrey C. Morton, Barry Schwartz, Gary Watkins and Robert Louis Stype, Jr. in February 2002 and is headquartered in New York, NY. | Finance |
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