Brian Dillon
Chief Compliance Officer
Brian is the Chief Compliance Officer at Top Tier Capital Partners, LLC (Top Tier) and in that role, is responsible for overseeing the organization’s compliance program. Brian became Top Tier’s Chief Compliance Officer in November 2022 and has over 30 years of experience in the financial services and investment management industry with a strong technical background in compliance, risk management, and accounting. Brian is also a Director at Vigilant Compliance, LLC.
Prior to his role at Top Tier, Brian was the Chief Compliance Officer at ORIX Advisers, LLC, an SEC registered investment adviser in the private equity, private credit and CLO business. Brian also served as the Chief Compliance Officer for Mariner Investment Group, an SEC registered hedge fund manager, while Mariner was part of the ORIX organization.
Prior to joining ORIX in 2019, Brian was the Chief Risk and Compliance Officer at BrightSphere Investment Group, a publicly listed multi-boutique asset management business (NYSE: BSIG) with offices in the US, UK, and Hong Kong. While at BSIG, Brian had oversight responsibilities that included among other areas, the Investment Advisers Act of 1940, the Investment Company Act of 1940 as well as the Sarbanes-Oxley Act (SOX). During his 18 years at BSIG, Brian also served at various times as the Chief Compliance Officer for certain BSIG subsidiary companies including SEC registered investment advisers and a FINRA registered broker/dealer. He also served as the 38a-1 Chief Compliance Officer for a sponsored mutual fund platform.
Prior to joining BSIG, Brian was part of the Compliance Team at Delaware Investments, an SEC registered adviser, and in the Investment Bank/Capital Markets Group at CoreStates Financial Corp and the Philadelphia National Bank.
Brian graduated from the University of Scranton with a B.S. in Accounting and is a CPA (currently CE inactive). Brian is married with three children and lives in the Philadelphia area. In his spare time, Brian likes to travel, golf, walk and root on the Philadelphia sports teams.
Prior to joining ORIX in 2019, Brian was the Chief Risk and Compliance Officer at BrightSphere Investment Group, a publicly listed multi-boutique asset management business (NYSE: BSIG) with offices in the US, UK, and Hong Kong. While at BSIG, Brian had oversight responsibilities that included among other areas, the Investment Advisers Act of 1940, the Investment Company Act of 1940 as well as the Sarbanes-Oxley Act (SOX). During his 18 years at BSIG, Brian also served at various times as the Chief Compliance Officer for certain BSIG subsidiary companies including SEC registered investment advisers and a FINRA registered broker/dealer. He also served as the 38a-1 Chief Compliance Officer for a sponsored mutual fund platform.
Prior to joining BSIG, Brian was part of the Compliance Team at Delaware Investments, an SEC registered adviser, and in the Investment Bank/Capital Markets Group at CoreStates Financial Corp and the Philadelphia National Bank.
Brian graduated from the University of Scranton with a B.S. in Accounting and is a CPA (currently CE inactive). Brian is married with three children and lives in the Philadelphia area. In his spare time, Brian likes to travel, golf, walk and root on the Philadelphia sports teams.
Contact:
Brian Dillon, [email protected]
