Senior Counsel and Chief Compliance Officer Nicholas Frederick

Nicholas Frederick is Senior Counsel and Chief Compliance Officer at Lateral and is primarily responsible for the legal and compliance functions at the firm. Nicholas was previously a Vice President and Corporate Attorney within the legal and compliance team at a New York-based private equity fund manager and RIA with just shy of $2B in peak assets under management. His role focused on performing fund related matters (including fund formation and governance), handling general corporate legal tasks, responding to regulatory inquiries, and assisting the CCO and General Counsel implement/administer the firm’s compliance program. Prior to this, Nicholas spent over three years at BNP Paribas, where he worked within the legal and compliance department in their asset management and investment solutions business lines. Nicholas has also held positions at Ernst & Young and National Australia Bank.

Nicholas holds a B.S. (Applied Economics) from Cornell University, a J.D. from William & Mary School of Law, and is admitted to the New York State Bar.

Outside of the office, Nick enjoys traveling, historical movies and novels, and all things New York Yankees.

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