Matt Soldato is a director in the Financial Services Compliance and Regulation practice at Kroll (Duff & Phelps rebranded as Kroll in 2021), based in Chicago. He is responsible for consulting firms both registered with the Commodity Futures Trading Commission (CFTC) and Securities Exchange Commission (SEC) to streamline their compliance programs and mitigate risk.

Matt’s clients mainly include hedge funds, wealth managers, private equity firms, along with all NFA registrant categories. Matt provides ongoing support to clients and assists with National Futures Association (NFA), SEC and state registrations. Additional compliance work has focused on the areas of anti-money laundering, personal trading, and mock SEC and NFA examinations.

Prior to joining Duff & Phelps, Matt spent time in the risk and compliance sector at a global bank and the NFA. Matt graduated from Butler University and holds Series 3 and Certified Fraud Examiner (CFE) certifications.

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Other Areas We Can Help

CFTC/NFA Services

CFTC/NFA Services

Comprehensive CFTC registration and ongoing support.

CFTC/NFA Services

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