KELLY C.

DEHLER
708-790-5113 kdfd3312@westpost.net
SUMMARY
A seasoned professional with extensive experience in regulation and compliance o
f broker-dealers, investment advisers and investment companies, in particular, t
he Securities Exchange Act of 1934, the Investment Advisers Act of 1940, Investm
ent Company Act of 1940 and FINRA rules, who has advised senior management, fund
boards, compliance and operational staff and managers on all aspects of securit
ies regulation.
CAREER HISTORY
RESILIRE PARTNERS LLC, Chicago, Illinois
May 2010 - August 2010
General Counsel
Maintained full responsibility for advice and counsel on structuring Regulation
D offerings and other corporate matters.
KAWAMURA CAPITAL PARTNERS LLC, Naperville, Illinois
November 2009 - May 2010
Securities and Compliance Counsel
Maintained full responsibility for creating, implementing and managing policies,
procedures and processes to ensure firm compliance with rules and regulations r
egarding activities related to the structuring and sale of private securities of
ferings under Regulation D and Regulation S, including creating offering memoran
dum and conducting due diligence on placement agents.
ALARIC COMPLIANCE SERVICES, LLC, Chicago, Illinois
January 2009- November 2009
Director of Compliance (Designated Chief Compliance Officer) Maintained full res
ponsibility for the compliance activities of client firms, (hedge funds, investm
ent advisers, broker-dealers, investment companies), including designation as Ch
ief Compliance Officer, due diligence reviews, SEC examination oversight, and in
dependent testing of anti-money laundering compliance programs.
DRIEHAUS CAPITAL MANAGEMENT LLC, Chicago Illinois 2004 - 2008 / 2000 - 2003
Legal/Compliance Department
Senior Attorney (2004-2008) Regulatory Associate (2000-2003)
Maintained full responsibility for compliance with applicable new and existing F
ederal and State securities laws (including the Securities Exchange Act of 1934,
Investment Advisers Act of 1940, the Investment Company Act of 1940 and NASD Ru
les).
Collaborated with compliance and relevant operations departments in developing,
implementing and enforcing compliance and operational procedures for all areas o
f operations including anti-money laundering, review of firm advertising and sal
es literature, commission sharing/soft dollar arrangements, privacy, private pla
cements and offshore hedge fund subscriptions.
Member of Investment Policy Committee, which monitored portfolio holdings of eac
h investment strategy for compliance with client restrictions and regulatory obl
igations.
Maintained full responsibility and oversight of legal/compliance review process
for all product advertising and sales literature and regulatory filings, includi
ng Form ADV Parts I and II, Schedule 13F, Schedules 13D and G and Form N-PX.
As Assistant Secretary and Anti-Money Laundering Compliance Officer of Driehaus
Mutual Funds, maintained full responsibility for all aspects of quarterly fund b
oard meetings, including agenda setting, participant reports to trustees, prepar
ation, printing and distribution of board materials and meeting minutes.
Maintained responsibility for drafting and/or negotiating all contracts, includi
ng mutual fund distribution agreements, client advisory contracts, and third par
ty vendor service contracts.
Maintained full responsibility for managing relationships with, and budget and a
ssignments to, outside counsel.
ALLSTATE FINANCIAL SERVICES, LLC, Northbrook, Illinois 2003 - 2004
Compliance Department
Regulatory Compliance Officer
Maintained full responsibility for creating, implementing and overseeing complai
nt investigation and automated tracking and reporting process under NASD Rule 30
70, including management of three (3) compliance analysts.
Developed and implemented compliance audit of internal compliance department pro
cesses and procedures and enhancements as appropriate.
NASD REGULATION, INC. (now FINRA), Chicago, Illinois 1997 - 2000
Compliance Examiner - Member Regulation
Audited member firm compliance with securities rules and regulation and correspo
nded with investors, brokers, and firm principals to gather accurate information
for complaint investigations.
Trading and Market Making Surveillance Examiner - Market Regulation
Conducted trading and market making surveillance (TMMS) examinations of the larg
est NASDAQ market makers through on-site firm audits and interviews with senior
management and trading personnel.
STEIN ROE MUTUAL FUNDS, Chicago, Illinois
Roles included shareholder services manager, high net worth shareholder manager,
member of transfer agent conversion team and transfer agent processing support
and oversight.
LINSCO PRIVATE LEDGER (now LPL Financial), San Diego, California
Maintained full responsibility for trade desk order process and mutual fund back
office operations troubleshooting.
EDUCATION
The John Marshall Law School, Chicago, Illinois
Juris Doctor - Admitted to Illinois Bar November 2002
Keller Graduate School of Management, Chicago, Illinois
Master of Business Administration
Western Illinois University, Macomb, Illinois
Bachelor of Business Administration - Finance
FINRA LICENSES
Series 7, 24, 65