Joseph F. Stowell III
Focus 1 Associates LLC
May 30, 2018
Focus 1 Associates Announces the Opening of a Northeast Office, Expansion of Services and the Addition of Joseph F. Stowell III
(Derry, NH) – Focus 1 Associates (“Focus 1”) announced today that it will expand its SEC compliance consulting practice with the addition of Joseph F. Stowell III. Joe will be joining Focus 1 as a Director and in addition to assisting with annual compliance reviews, mock SEC examinations and consulting with existing clients, Joe will also serve as the designated CCO for certain SEC registered investment advisers as part of Focus 1’s new CCO Outsource Division.
According to Tobin Cochran, Focus 1’s Managing Member and President, “Joe’s industry experience, which has principally been centered around investment adviser compliance and operations, will complement our growing regulatory compliance practice as we continue to capitalize on our second decade of serving our clients’ regulatory compliance needs.” Joe was also enthusiastic about this new opportunity, saying “I am thrilled to be joining the experienced team of compliance professionals at Focus 1 and look forward to providing high-valued CCO services to our clients with the same diligence and care that Focus 1 is known for.” Tobin added, “I very much appreciate Joe’s ‘role up your sleeves’ approach to getting things done; not always a common trait for someone with his depth of experience and history of working for larger, well-known investment advisory firms.”
Prior to joining Focus 1, Joe served as Global Chief Compliance Officer for Oechsle International Advisors (“Oechsle”), formerly an SEC registered investment adviser domiciled in Boston, MA with additional offices in Asia and Europe. For the past 14 years, Joe was responsible for administering the firm’s global compliance program in jurisdictions in and outside of the United States, which encompassed working under the guidance of several regulatory entities including: the SEC, SFC, FCA, BaFin, and the BCSC.
In addition to Joe’s role as CCO, he served as Oechsle’s Director of Operations, where he was responsible for managing the firm’s vendors, front/middle/back-office systems, and the outsourcing of technology and legal. Prior to being appointed Oechsle’s Global Chief Compliance Officer, he held a Senior Compliance Officer position where he helped support the overall compliance function.
Before joining Oechsle in 2004, Joe held the position of Compliance Manager for Putnam Investments, and Compliance Analyst for State Street, and Scudder Stevens and Clark. Joe’s investment management experience includes working with long-only and long-short strategies for both equity and fixed income mandates in a variety of account structures including separate accounts, mutual funds, private funds, and wrap and UMA platforms; responsibilities ranging from compliance, GIPS® compliance, internal audit, technology, legal, and business management.
Headquartered in Medford, Oregon, with offices in the greater Pasadena, CA area, Tampa Bay, FL, and now Derry, NH, Focus 1 specializes in assisting SEC registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds— with their compliance needs whether that be consulting, assistance with the annual compliance review, mock SEC examinations, and now outsourced CCO.