NEW YORK--()--Global professional services firm Alvarez & Marsal (A&M) announces the appointment of Christopher Chatfield as Managing Director within its Disputes and Investigations (DI) practice. Mr. Chatfield will lead A&M’s new Broker-Dealer Investigations and Compliance (BDIC) specialization, strengthening the firm’s capacity to address the complex needs of broker-dealers across regulatory compliance, internal investigations, and litigation matters.

Mr. Chatfield joins A&M with over 25 years of experience in regulatory investigations, litigation, and compliance, alongside his in-depth broker-dealer and consumer banking knowledge. DI’s global network of prior in-house legal, compliance and operations professionals and former regulators, provides the backbone of BDIC’s ability to assist with complexities ranging from fact-finding through resolution and/or remediation. BDIC builds on DI’s strategy to make significant investments in complementary areas of high-demand expertise as recently demonstrated with the launch of its National Security, Trade and Technology practice.

Mr. Chatfield’s expertise spans complex regulatory investigations and litigation involving market abuse, insider trading, front-running, and market manipulation. Noted for his track record advising financial institutions on domestic and international regulatory inquiries, he helps clients navigate compliance remediation matters and internal investigations​​.

Jerry Dent, Managing Director and DI’s Practice Leader, commented, “A&M’s Broker-Dealer Investigations and Compliance capability is designed to meet clients’ increasing regulatory and operational challenges. True to A&M’s results-driven mindset, and ability to quickly pivot in anticipation of market demand, our BDIC offering enhances our suite of services and reflects our ability to attract top-tier talent within specific segments and industry sectors. Chris’s extensive regulatory risk remediation and governance knowledge aligns with A&M’s mission to solve for our broker-dealer clients’ unique concerns.”

Mr. Chatfield and the DI team will focus on assisting clients with issues arising from regulatory inquiries or investigations, whistleblower actions, on internal compliance reviews that involve trading surveillance, insider trading, and market manipulation, such as front-running, layering and spoofing. Additionally, they will advise on electronic trading, alternative trading systems, non-financial regulatory reporting, including blue sheet reporting, large option position reporting, order audit trail system reporting (OATS) and consolidated audit trail reporting (CAT) as well as retail sales practices and remediation plans.

Mr. Chatfield said, “The breadth and depth of A&M’s Broker-Dealer Investigations and Compliance service line allows us to expertly and promptly assist with investigative work and proactively identify and resolve potential regulatory or compliance issues. The firm’s integrated platform and freedom from audit conflicts are at the cornerstone for mitigating risk as well as maximizing value.”

Prior to joining A&M, Mr. Chatfield was the Co-Head of the Broker-Dealer Regulatory Governance and Disputes Practice at FTI Consulting. He also served as Associate General Counsel in the Regulatory Inquiries Group for Bank of America and Merrill Lynch, and as Senior Counsel in the Division of Enforcement for the Securities and Exchange Commission. His former regulatory experience also includes earlier roles at the Chicago Board Options Exchange, the American Stock Exchange and NASDAQ.

Mr. Chatfield holds a Bachelor of Arts degree in American history from Rutgers University and a J.D. from Vermont Law School, and he is a member of the New Jersey Bar.

About Alvarez & Marsal

Companies, investors and government entities around the world turn to Alvarez & Marsal (A&M) for leadership, action and results. Privately held since its founding in 1983, A&M is a leading global professional services firm that provides advisory, business performance improvement and turnaround management services. When conventional approaches are not enough to create transformation and drive change, clients seek our deep expertise and ability to deliver practical solutions to their unique problems.

With over 10,000 people providing services across six continents, we deliver tangible results for corporates, boards, private equity firms, law firms and government agencies facing complex challenges. Our senior leaders, and their teams, leverage A&M’s restructuring heritage to help companies act decisively, catapult growth and accelerate results. We are experienced operators, world-class consultants, former regulators and industry authorities with a shared commitment to telling clients what’s really needed for turning change into a strategic business asset, managing risk and unlocking value at every stage of growth.

To learn more, visit: AlvarezandMarsal.com.