IVY WAFFORD DUKE, ESQ.

Chief Compliance Officer

Ms. Duke is responsible for managing and developing National’s robust compliance program in coordination with the General Counsel and Board of Directors. She provides focused leadership and guidance on compliance-related matters to management, staff and internal committees. Ms. Duke is also charged to uphold meticulous recordkeeping practices, ensure preservation of documentation in accordance with policy and regulation, and works with the General Counsel on regulatory inquiries and examinations.

Prior to joining National, Ms. Duke served as Counsel at Seward & Kissel LLP in Washington, DC, and was responsible for matters involving registered fund and adviser operations. Prior hereto, Ms. Duke held the position of Vice President and Acting General Counsel at Calvert Investments, Inc. in Bethesda, MD, where she led legal operations of multiple open-end registered investment companies with over $16 billion in assets and guided the firm’s regulatory functions, including investment company and investment adviser registration with the SEC. She concurrently served as Counsel for the Calvert Social Investment Foundation where she provided legal counsel on securities-related and philanthropic activities. In her early legal career, she held the position of Associate at Drinker Biddle & Reath LLP and Law Clerk at the Philadelphia Electric Company.

Ms. Duke holds a Master of Laws, Securities and Financial Regulation from Georgetown University Law Center, a Juris Doctor from the University of Virginia School of Law, and a Bachelor of Arts in English from the University of Virginia. She is licensed to practice law in the District of Columbia and the Commonwealth of Pennsylvania, and holds memberships with the following associations, American Bar Association, Bar Association of the District of Columbia, Investment Advisor Association and the National Bar Association.

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