John Krieg

John Krieg is an experienced fund director and investment executive with 35 years of experience and professional investor qualifications. He meets the criteria for Audit Committee Financial Expert under Sarbanes-Oxley.  John has held senior leadership positions with investment product development, distribution, financial and audit oversight, risk management and compliance responsibilities in highly regulated, global jurisdictions and with complex bank-owned organizations.  John has deep investment industry knowledge of the institutional, intermediary and retirement distribution channels and the governance around investment suitability, digital marketing, distributor compensation and client onboarding.  John served as an Interested Trustee on the UBS Asset Management Collective Investment Trust (CIT) Fund Board overseeing a fund complex of 40 funds across passive, active, money fund, multi-asset and alternative strategies.  Additionally, he has expertise in all aspects of investment product development including the oversight of product design and naming, performance competitiveness and investment liquidity.

Most recently, John’s professional role was as Managing Director, Head of Institutional Distribution for North American with UBS Asset Management; he also served on the UBS Global Client Coverage Management Committee and Director, UBS Asset Management Americas Inc.  John defined and implemented the sales strategy and financial goals for North America which included alternatives, passive and active strategies in various vehicles.  John also managed the branding and digital marketing campaigns in accordance with an evolving SEC regulatory environment.   Additionally, John was a member of the America’s Regional Governance Committee responsible for oversight of key business risk, operational and financial risks and regulatory change events.

Prior to UBS, John was Managing Director, Head of Europe, Middle East & Africa (EMEA) for Northern Trust Asset Management and a member of the International Executive Management team responsibility for financial, audit, regulatory, compliance and risk management governance for Northern Trust Global Investment Ltd.  John worked with Northern’s Board of Directors and the UCITS Fund Board as he developed the business strategy and managed the P&L for the EMEA region.  While based in London, John also led a multi-country domiciled distribution team which exceeded revenue goals each year resulting in Northern’s International Asset Management business achieving profitability for the first time.    He was Chairman of the New Business Approval Committee which provided oversight to mitigate investment, regulatory and operational risk with new investor business.  Before moving to London, John held the position of Head of Global Product Management at Northern Trust Asset Management in Chicago.  In this capacity, he oversaw a diverse team engaged in the global development of multi-asset class products encompassing separate accounts and funds in both the US and UCITS markets.

John is a dedicated professional holding the CFA and CAIA Charters, the CFA Institute Certificate in ESG Investing, and completing the Certified Investment Fund Director (CIFD) program.  He has volunteered his experience on the National Ability Center Investment Committee in Park City, Utah and he served as a Trustee with the City of Lake Forest, Illinois Pension Fund Board.  John previously held Series 7, 24, 63, 65 FINRA licenses and the National Futures Association Series 3 license.  He earned a Bachelor of Science in Finance, cum laude, from the University of Illinois, Champaign-Urbana and an MBA in Finance with honors from DePaul University, Graduate School of Management.