People

Peter F. Heuzey

Partner

Peter Heuzey

Utilizing my internal control knowledge to deliver audit, attest and assurance services, I assist a variety of clients in meeting complex business and technology requirements within the boundaries set by investors, service users and regulators. I help them document how they are assessing and controlling the risks inherent in their obligations, providing them an opportunity to demonstrate that they are astute in delivering key services and managing the information and other assets entrusted to them.

Peter F. Heuzey is a Partner of the Firm and maintains a skilled dual focus in financial services and IT consulting. He has more than 30 years of experience in financial services, in addition to working with commercial and technology clients, and previously served as head of audit for several large banks, as well as an audit partner at a Big Four firm. His previous projects include running the Y2K Project for a major investment bank’s 20,000 person retail group, and then serving as the chief information security and business continuity officer.

A leader in the alternative investment field, Peter is accomplished in handling investment operations and compliance readiness, monitoring and reporting. He is recognized for his expertise in the CFA’s Global Investment Performance Standards, and guidance in preparing for and reporting on service organization control (“SOC”) reports under SSAE 16 (SOC 1) and the Trust Service Principles (SOC 2). With the issuance of Dodd-Frank rules and greater accountability demanded by investors, Peter also handles SOC 1 examinations of investment advisor operations.

Professional Affiliations & Civic Involvement

  • American Institute of Certified Public Accountants (AICPA)
    • Trust Services Principles and Criteria Revision Working Group
    • Former Member, Broker/Dealer Committee
  • New York State Society of Certified Public Accountants (NYSSCPA)
    • Investment Management Committee
    • Broker/Dealer Committee
    • Anti-Money Laundering Committee
    • Former Chairman, Leasing & Finance Companies Committee
  • CIPM Association (CFA Institute)
  • Managed Funds Association (MFA)

Accreditations

  • Certified Public Accountant (New York)
  • Certificant in Investment Performance Measurement (CFA Institute)
  • FINRA Series 7 and 27 licenses

Education