Alicia L. Marshall

Position: Managing Director;

Company: Ian Reid LLC;

Industry: Financial Services

Country: United States

Alicia Marshall is managing director, Ian Reid LLC and lead the firm’s capital markets and asset management compliance practice. 

She is the Chief Compliance Officer for RLJ Select Investments, a hedge fund of funds formed in joint venture with Deutsche Asset Management (DeAM), a division of Deutsche Bank.

Before joining The RLJ Companies, Ms, Marshall was most recently a Branch Chief, at the Securities and Exchange Commission (SEC), Office of Compliance Inspection and Examination, where she advised and assisted in the development of regulatory examination programs for various financial institutions. Ms. Marshall also planned, coordinated and lead oversight inspections of various financial entities.  Ms. Marshall was the lead OCIE branch chief in the SEC's historical Global Research Analyst Conflicts of Interest Settlement.  In addition, Ms. Marshall served on the SEC's September 11th Recovery Team that assisted in re-opening the US stock markets

Formerly, Ms Marshall was an attorney with NASDR's Office of Dispute Regulation where she counseled arbitration panels on securities rules and regulations. Ms. Marshall also drafted rule filings that affected the Office of Dispute Resolution.

Ms. Marshall also worked as a law clerk with The Nasdaq Stock Market. In this position, she prepared reports for the Nasdaq Listings Committee and researched various regulatory issues affecting the Nasdaq Stock Market.

Education

  • JD The Catholic University School of Law 1996
  • BS Finance and Marketing, University of Maryland at College Park 1993

Bar Admission

  • State of New Jersey
  • Federal District Court of New Jersey
  • District of Columbia Pending

Professional Experience

  • Chief Compliance Officer, RLJ Select Investments 2006
  • Branch Chief, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations 2000-2006
  • Attorney, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations 1999-2000
  • Staff Attorney, NASD Regulation, Inc. 1997-1999
  • Law Clerk, The Nasdaq Stock Market, Inc. 1995-1997

Affiliations

  • Member, D.C. Bar Association 2001-Present
  • Member, American Bar Association 1999-Present
  • Member, The Urban Land Institute, 2005-Present
  • Member, University of Maryland at College Park Alumni Association, 1993-Present

Awards

  • Capital Markets, U.S. Securities and Exchange Commission August 2004
  • Capital Markets Award, U.S. Securities and Exchange Commission, September 11th Recovery

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