30+ Years of Fund Governance, SEC Leadership & Board Stewardship
Lead Independent Director and Audit Committee Chair overseeing $3B+ in NYSE-listed registered closed-end fund assets (symbols: CRF & CLM). Former Fund Complex President & CEO, PwC Audit Senior, and Broadridge Senior Advisor bringing deep fiduciary oversight, 1940 Act compliance, and AI-driven RegTech workflow innovation to modern boards.
Institutional Competency Framework
T-Shaped Director Expertise
Combining broad boardroom governance breadth across fund structures with deep technical depth in SEC compliance, accounting, and RegTech innovation.
Horizontal Breadth — Broad Boardroom Leadership
Audit & Financial Expert
30+ years of audit leadership. Managed PCAOB external auditor transitions, SEC Form N-CSR/N-PORT filings, and internal controls (ICFR).
- NYSE Audit Chair ($3B AUM)
- Former PwC Audit Senior
- CPA (Inactive, NY)
SEC Regulatory Execution
Chaired US Fund Regulatory Working Group at Broadridge. Expert in SEC Tailored Shareholder Reports (TSR) and Rule 2a-5 Fair Value.
- TSR Industry Template Architect
- Rule 2a-5 Pricing Designee Oversight
- Section 15(c) Fee Benchmarking
RegTech & AI Automation
Hands-on creation of custom LLM administrative tools, automated compliance monitors, and rapidly prototyped compliance and administrative applications for funds and non-profits.
- LLM Workflow Prototyping
- Board Oversight Disclosure AI
- Civic & Non-Profit App Creation
Proven Executive Career
Executive History & Board Experience
Over 30 years of leadership spanning fund board directorships, CEO stewardship, fund administration platforms, and tier-one accounting firms.
Independent Director, Audit Committee Chair & Financial Expert
2020 – PresentLead Independent Director for $3B NYSE-listed closed-end fund complex. Chair the Audit Committee and serve on the Nominating and Corporate Governance Committee. Oversee Investment Company Act compliance, 15(c) advisory contract reviews, and shareholder communications. Responsible for successfully initiating an audit firm search, resulting in a seamless external audit firm transition.
Senior Advisor & Vice President - Mutual Fund Business Development
2018 – 2025Provided strategic counsel on regulatory compliance, risk management, and SEC rulemaking impact. Chaired the US Fund Regulatory Working Group, bringing together fund executives and service providers. Developed efficiency-enhancing templates for SEC Tailored Shareholder Reports (TSR) that drastically reduced industry delivery costs.
Executive Vice President / Head of Fund Administration
2012 – 2018Principal Financial Officer (PFO) and Treasurer for various registered closed-end funds under administration. Specialized in servicing Business Development Companies (BDCs) and alternative fund products with illiquid and private investments.
EVP / Head of Closed-End Fund Administration
2009 – 2012Directed closed-end fund administration operations and served as Principal Financial Officer / Treasurer for multiple administrative fund clients.
President & CEO / Senior Managing Director
1987 – 1988 & 1992 – 2008Chief Executive Officer overseeing mutual fund operations, fund accounting, legal compliance, and PFO duties across the Bear Stearns fund complex.
CFO - Mutual Fund Complex & First VP / Director of Fund Admin
1988 – 1992Chief Financial Officer and Treasurer for PaineWebber Funds and administrative clients.
Audit Senior - Practice Specialist
1980 – 1984Practice specialist conducting statutory audits for SEC-registered investment companies, mutual funds, and asset management institutions.
AI RegTech Lab & Board Assistant
Interact with AI-powered candidate mandate matching, SEC disclosure audit scanning, and 1940 Act compliance tools tailored around Frank J. Maresca's governance profile.
Board Candidate Mandate Matcher
Paste a recruiter job mandate and generate a tailored "Board Alignment Memorandum."
Civic Engagement & Philanthropy
Non-Profit Governance & AI Leadership
Applying corporate board discipline and AI-assisted workflow automation to non-profit financial management.
HeartShare Human Services of NY
Provide financial oversight, audit guidance, and fiscal stewardship for one of New York's largest human services non-profit organizations, supporting individuals with intellectual and developmental disabilities.
Young Musicians of Westchester
Oversee financial reporting, Form 990 compliance, donor fund accounting, and board budget approvals for an educational arts non-profit empowering young musical talent.
Initiate Confidential Inquiry
Available for selective Independent Director, Audit Committee Chair, and Advisory Board appointments for registered investment funds, BDCs, and asset management platforms.