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MARESCA GOVERNANCE ADVISORS

Maresca Governance Advisors

Candidate for Independent Fund Directorship and
Audit Committee Financial Expert
Consultant for Strategic Fund, Investment Management
AND Asset Servicing

Executive Overview

Frank J. Maresca Headshot

Frank J. Maresca is an accomplished financial executive, retired CPA and SOX 407 SEC-Qualified Financial Expert with over 35 years of leadership in investment management and asset servicing. He currently serves as an Independent Director and Audit Committee Chairman for a NYSE listed closed-end fund complex with $3B+ in assets.

His career spans senior leadership roles across mutual fund complexes, asset servicing platforms, and prime brokerage businesses—including President & CEO of Bear Stearns Funds Management Inc., Head of Fund Administration at Equiniti Trust Company, LLC and Ultimus Fund Solutions, LLC. He was also a Senior Advisor and Consultant at Broadridge Financial Solutions, Inc. where he served as Chair of the U.S. Fund Regulatory Working Group.

Value Proposition: Delivering expertise in board oversight, comprehensive Investment Company Act of 1940 compliance, and actionable operational guidance for Mutual Funds, Exchange Traded Funds (ETF), Closed-end Funds (CEF), Interval and Tender Offer Funds, Business Development Companies (BDC) and private investment vehicles.
35+
Years Experience

PwC • CEO • Audit Chair

$3B+
AUM Oversight

NYSE: CLM • NYSE: CRF

SEC Financial Expert
Audit Committee Financial Expert

PwC Investment Company Practice Alumnus

IDC & MFDF Member

Independent Directors Council

Mutual Fund Directors Forum

Board Candidacy

Board Directorships & Audit Committee Membership

Available for open independent board and audit committee seats, as an audit committee financial expert for Mutual Funds, ETFs, CEFs, BDCs, and private funds. 35+ years of financial & SEC oversight experience.

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Consultancy

Strategic Consulting & AI RegTech Solutions

Specialized consulting for fund boards, investment advisers and fund service providers on a variety of engagements covering finance, administration, operations, compliance and implementation of AI deployment.

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Board Directorships & Audit Committee Financial Expert
  • Audit Committee Chair & SEC Financial Expert: Active oversight of $3B+ NYSE-listed closed-end fund complexes; expertise in audit firm rotations and financial statement integrity.
  • SEC-Registered & Private Fund Oversight: Fund Administration, Finance and Operational experience spanning Mutual Funds, ETFs, CEFs, BDCs and illiquid private funds.
  • Contract Evaluations: Expertise and business judgment on the annual review of advisory contracts, sub-advisory fee schedules, distribution agreements, material service provider contracts, and profitability and expense analyses.
  • Governance & Board Leadership: Experienced director executing board self-evaluations, charter updates, and SEC regulatory oversight.
Strategic Advisory & Fund Management Consulting
  • SEC Regulatory Rule Implementation: Execution strategies for new SEC rule implementations, Rule 2a-5 Fair Value frameworks, and modern SEC mandates.
  • Service Provider RFP & Vendor Oversight: Independent management of administration, accounting, custody, and transfer agency searches and contract benchmarking.
  • Operational Risk & Fund Administration Optimization: Process improvements, internal control reviews, and financial reporting enhancements across fund platforms.
  • Audit Readiness & Accounting Controls: Pre-audit reviews, NAV calculation oversight, and complex valuation framework evaluations.

Key Industry Distinctions

Active Board Leadership: Independent Director & Audit Committee Chair for a $3B combined AUM NYSE-listed closed-end fund complex.
Regulatory Authority: Former Chair of the U.S. Fund Regulatory Working Group, driving solutions for modern SEC mandates.
Comprehensive Product Expertise: Mutual Funds, ETFs, CEFs, BDCs and Illiquid/Private Investment Funds.
Institutional Foundation: Former Fund Treasurer and Principal Financial Officer, PwC Audit Alumnus (Investment Company Practice Specialist) & Certified Public Accountant (NY, inactive).
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GET IN TOUCH

Board Directorship & Strategic Consulting Inquiries
Executive Contact Profile

Frank J. Maresca

Chief Executive Officer, Maresca Governance Advisors

Independent Fund Director & Audit Committee Chair

Add to Contacts (.vcf)
Direct delivery to frank@marescagovernance.com Direct encrypted transmission
Location: Greater Nashville, TN Area
Phone: 631-479-2956