Industry veterans with over 75 years of combined experience in fixed income compliance, regulatory risk management, and audit.
Kimberly McManus
Founder and President
Kim has over thirty-five years' experience in fixed income compliance, with specific expertise in the municipal market.
Prior to establishing Alternative Regulatory Solutions, LLC (ARS), Kim was a Managing Director of Municipal Compliance with Wachovia Corporation (including its predecessor firms and currently Wells Fargo), where she worked for eighteen years. She was responsible for assessing and managing regulatory risk for public finance/government banking, bond trading and syndicate, sales (both institutional and retail), operations, and derivative/structured products within the Municipal Products Group. Kim was extremely instrumental in positive outcomes regarding regulatory exams, inquiries and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices. She also worked for Chase Manhattan Bank and Bankers Trust.
Since ARS’s inception, Kim has provided compliance support to some of the largest broker dealers on the street including, but not limited to JP Morgan, Citibank, BofA, RBC, UBS, Truist, and Oppenheimer. She has also pioneered compliance programs for large and small Municipal Advisors guiding them through the regulatory landscape since Dodd Frank required Municipal Advisors to be registered and regulated
She has been sought to speak as an industry professional by FINRA and other trade organizations and has been hired to act as an expert witness within the industry for several broker dealer firms.
Kim earned her Bachelor of Science degree in Finance from Georgetown University. She has received her Series 7, 24, 27, 53, and 79 securities license designations.
Glenn Green
SVP/Director of Compliance Services
Glenn has in-depth experience in fixed income compliance, with expertise in the municipal market. At ARS, Glenn is involved with all aspects of fixed income compliance, including evaluating regulatory risks and developing compliance infrastructures and internal controls to comply with an ever-changing and challenging regulatory environment. Glenn is the point person for all daily compliance questions.
Glenn's experience, prior to joining ARS in 2009, includes twenty years with regional and national broker dealers in both the compliance and audit fields. In his previous role as Director of Municipal Compliance with Wachovia Corporation, he was responsible for working closely with public finance, tax advantaged products and government banking business line management on a daily basis advising on decisions with a regulatory impact. He participated in the Compliance Key Manager's Committee for corporate and investment banking representing the Municipal Compliance Group to ensure that common regulatory oversight is consistent throughout the organization. He monitored surveillance programs within the Public Finance, Tax Advantaged Products and Government Banking groups to ensure business is performed in accordance with all regulations promulgated by the MSRB, FINRA, SEC and OCC. Glenn was extremely instrumental in positive outcomes regarding regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices.
Glenn received his BS in Accounting from Fairleigh Dickinson University.
Ken McManus
SVP/Director of Investment Surveillance
Ken has over 35 years of combined experience in Compliance, Risk Management and Auditing, with specific experience in Municipal Advisor and Registered Investment Advisor compliance. Ken oversees the firm’s Surveillance Team and is responsible for implementing the surveillance programs for ARS clients.
Prior to joining ARS, Ken was Vice President, Portfolio Risk Manager in Brown Brothers Risk Management Group responsible for portfolio regulatory and client investment guideline compliance. He previously held the position as Director of Investment Surveillance Compliance at Lord, Abbett & Co. for ten years. At Lord Abbett, Ken was responsible for portfolio investment guideline and trading compliance for Lord Abbett's family of funds, subadvised funds and institutional accounts.
Ken has also held various compliance and audit positions with New York Life Investment Management, Warburg Pincus Asset Management, Credit Suisse Asset Management, Chase Asset Management and Chase Manhattan Bank.
Ken received his BA in Business with a concentration in Finance from Stockton University.
Ted Vogtman
Assistant Vice President/Head of Surveillance
Ted Vogtman serves as Assistant Vice President at Alternative Regulatory Solutions, where he guides clients through the complexities of the regulatory landscape. Rather than just identifying risks, Ted focuses on building sustainable compliance frameworks that allow firms to grow without compromising integrity.
Ted previously worked for a minor league baseball team, where he was responsible for gameday operations and ticket sales. He balanced the demands of a fast-paced environment with a focus on exceptional customer service.
Ted is a fervent believer in giving back, and spends his free time volunteering for Deirdre's House, which provides a secure, nurturing, home-like environment for children who have suffered abuse and/or neglect. Ted's work includes reconciling bank statements, budgeting and inventory management.
B.S. in Sports Management from University of Delaware with a minor in Event Management. MBA in Finance from Seton Hall University.
Aaron Castillo
Compliance Analyst
Aaron Castillo is a Compliance Associate at Alternative Regulatory Solutions, where he helps clients identify potential compliance risks and develop effective policies, systems, and controls to ensure regulatory integrity. He's driven by a passion for helping organizations operate responsibly and efficiently all while maintaining the highest ethical standards.
Aaron's background spans both in compliance and healthcare administration. During his work at Summit Medical Group (now Summit Health), he saw firsthand how strong administrative processes directly support better patient outcomes. That experience sparked an interest in compliance and inspired him to pursue a career where he can bridge data, policy, and people.
Currently, he's advancing his expertise through a Master's in Public Informatics at Rutgers University, where he's learning to use data-driven insights to enhance compliance systems, improve decision-making, and strengthen public and healthcare operations.
He enjoys connecting with others who are passionate about making a difference. Whether it's inside or outside of compliance and data, Aaron's always up for a great conversation that sparks new and innovative ideas.
Ethan Dela Cruz
Compliance Associate
Ethan Dela Cruz is a Compliance Associate at Alternative Regulatory Solutions, where he helps clients identify potential regulatory risks and develop effective policies, systems, and controls to ensure regulatory integrity. He is driven by a commitment to helping organizations operate responsibly and efficiently, all while upholding the highest ethical standards.
Ethan's foundational background is rooted in Economics (Rutgers University–New Brunswick) and Analytics (Rensselaer Polytechnic Institute). This combination led him to see firsthand how data-driven analysis and strong economic principles directly inform effective risk mitigation and successful organizational strategy. That experience sparked his interest in compliance, inspiring him to pursue a career where he can bridge quantitative data, economic policy, and practical compliance solutions.
Currently, he applies his expertise in analytics, and problem solving to his work in Compliance Management, focusing on developing and implementing systematic controls to enhance decision-making and strengthen regulatory operations for clients.