Maresca Governance Advisors
Independent Fund Directorships • Audit Committee Leadership • Strategic Investment Management Consulting
Frank J. Maresca is an accomplished financial executive, SOX 407 SEC-Qualified Financial Expert, and active NYSE Closed-End Fund Audit Committee Chair with over 35 years of leadership in investment management and asset servicing.
His career spans senior leadership roles across mutual fund complexes, asset servicing platforms, and prime brokerage businesses—including serving as President & CEO of Bear Stearns Funds Management, Head of Fund Administration at Equiniti and Ultimus, and Chair of the U.S. Fund Regulatory Working Group at Broadridge.
Core Practice Areas
- 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 Open-End Mutual Funds, ETFs, NYSE CEFs, Business Development Companies (BDCs), and illiquid private funds.
- Section 15(c) Advisory Fee Evaluations: Rigorous annual review of advisory contracts, sub-advisory fee schedules, and profitability analyses.
- Governance & Board Leadership: Experienced director executing board self-evaluations, charter updates, and SEC regulatory oversight.
- SEC Regulatory Rule Implementation: Execution strategies for Tailored Shareholder Reports (TSR), 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
Frank J. Maresca
Chief Executive Officer, Maresca Governance Advisors
Independent Fund Director & Audit Committee Chair
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Audit Committee Leadership & Board Directorships
Available for open independent board seats and Audit Committee Chair for Mutual Funds, ETFs & CEFs. 35+ years of financial & SEC oversight experience.
Strategic Advisory & AI RegTech Solutions
Specialized consulting for fund boards, CCOs & advisers on service provider RFPs/evaluations, Section 15(c) renewals & practical AI deployment.
Start a Confidential Conversation
Frank welcomes confidential conversations regarding selective Independent Director, Audit Committee Chair, Advisory Board, and senior consulting opportunities with registered investment funds, BDCs, and asset management platforms.