Frank Galea

Frank leverages more than 20 years of experience in assisting industry firms navigate complex regulations including serving as outsourced Chief Compliance Officer (CCO) for registered investment advisers and business development companies (BDCs).

Prior to joining Kroll, Frank served as Director and outsourced CCO at ACA where he provided comprehensive compliance oversight for multiple investment advisers, private funds and business BDCs, ensuring adherence to SEC regulations.  He developed and implemented robust compliance programs, risk assessments and internal controls, leading to enhanced operational efficiency and reduced regulatory risk. Frank assisted with numerous SEC examinations. He also enhanced ACA’s technology adoption and internal content using cognitive tools and generative AI.

Before that, Frank served as the CCO for AGR Partners, with over $650 million in private equity assets. He was the product manager for proprietary risk and compliance module automating rules and questionnaires for investment screening for senior loan funds and BDCs.  Frank prepared compliance program reports for the fund board of registered investment companies and developed compliance manuals, policies, procedures and internal controls for advisers of private funds in alternative investments. He also managed the Anti-Corruption Compliance Program for the $1trillion AUM  parent.

Frank holds a Bachelor of Science in economics (cum laude) from San Francisco State University. He is also a Chartered Financial Analyst, certified by the CFA Institute.