Charles Douyon
Charles Douyon
Legal/Compliance Attorney for Investment Advisors
Legal/Compliance Attorney for Investment Advisors
Charles Douyon is a seasoned legal and compliance professional with more than 12 years of experience in the financial services industry. He has made a significant impact by helping investment firms and financial institutions navigate complex regulatory frameworks and ensure they remain compliant with evolving laws. With his unique combination of expertise in finance and law, he has built a distinguished career in financial compliance, helping organizations minimize legal risks and succeed in the highly regulated financial sector.
Charles was born and raised in Brooklyn, New York, in an environment encouraging ambition and resilience. From a young age, he developed a passion for sports, especially basketball and football. His involvement in these sports taught him important life lessons such as teamwork, leadership, and perseverance—qualities that would prove invaluable in his professional life.
After high school, Charles moved with his family to Long Island, where he continued his education. He initially attended Northeastern University in Boston but transferred to Berkeley College in New York following September 11, 2001. This decision allowed him to be closer to his family during a challenging time. At Berkeley, he pursued a degree in Business Management and Finance, graduating magna cum laude in 2005. His academic achievements set the foundation for his future career in both business and law.
After completing his undergraduate degree, Charles entered the finance world, taking a position at a financial institution on Wall Street. His work provided him with valuable experience in investment strategies, business operations, and the intricacies of the financial markets. However, as time passed, he became increasingly interested in the legal aspects of finance. He saw how regulatory frameworks shaped the industry and realized he wanted to help companies navigate these legal challenges.
In 2007, Charles pursued a law degree and enrolled at Northwestern University School of Law. Law school presented a new set of challenges, but his background in finance gave him a unique perspective. He graduated in 2010, entering the legal field when financial regulations significantly changed after the global economic crisis.
After earning his law degree, Charles pursued an LLM (Master of Laws) in Corporate, Banking, and Finance Law at Fordham University Law School. This advanced degree deepened his expertise in financial law, focusing on the legal aspects of corporate governance, banking regulations, and securities law.
Charles gained valuable hands-on experience at Fordham by interning with leading regulatory bodies such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These internships enhanced his understanding of the regulatory landscape and gave him insights into the intricacies of compliance within the financial industry.
Charles has dedicated his career to advising financial institutions on complying with key regulations, including the Dodd-Frank Act, the Securities Exchange Act, and the Investment Advisers Act. He has worked with investment firms to implement compliance programs, ensuring they meet regulatory standards while managing risks effectively.
Charles has held leadership positions in his field, including serving as Director of Compliance at a prominent investment firm. In this role, he oversaw the firm’s compliance efforts and ensured its operations met all relevant legal and regulatory requirements.
Besides his professional career, Charles enjoys staying active and pursuing his passion for sports. He plays basketball and football recreationally and participates in endurance events, such as marathons and half-marathons. Traveling is another essential part of his life, allowing him to explore new cultures and broaden his horizons. He also enjoys experiencing different cuisines and is particularly fond of Chinese food.
His financial law and compliance expertise has defined Charles Douyon's career. His background in both finance and law has enabled him to become a trusted advisor to financial institutions, helping them navigate complex regulatory environments. Outside of work, his commitment to staying active and his love for travel reflect his well-rounded approach to his personal and professional life.