John K. Carter, Attorney-at-Law

John K. Carter, Esq., Executive, General Counsel

john-k-carter-bio-homeJohn K. Carter has more than 25 years of experience in the financial services industry, which includes working for a law firm (Skadden Arps), a federal regulator (SEC), and leading companies (Franklin Templeton, Citigroup, and Transamerica).

With this wealth of experience, John helps clients, big or small, to resolve their legal issues. John provides consulting to companies on a host of issues, including acquisitions, outsourcing, vendor selection, systems integration, governance issues, industry trends, and product development. John also serves as an independent director of a growing mutual fund complex.

Previously, John served as Chairman, President, and CEO of a $50 billion asset management company consisting of approximately 120 funds and 35 investment sub-advisers. John served as General Counsel and Chief Compliance Officer prior to being promoted to the helm of the asset management company.

John graduated with a B.S. in Commerce from the McIntire School of Commerce of the University of Virginia, where he concentrated in Finance. He received a law degree from the University of Virginia School of Law, where he was a member of the Managing Board of the Virginia Tax Review.

He is a member of the Florida Bar, the District of Columbia Bar, and the Virginia State Bar. John also completed his Master of Theology from Saint Leo University, Dade City, Florida.

Core Competencies

  • Legal Analysis
  • Compliance
  • Risk Assessment
  • Securities Laws
  • New Product Innovation
  • Board Oversight
  • Legal Infrastructure Build Out
  • Complex Contract Negotiation
  • Distribution Channel Analysis
  • Fund Governance
  • Regulatory Expertise
  • Risk Mitigation