Dr. Dottie Allison

Biography

Dottie Allison is a Lecturer in Law at Penn Carey Law. She has extensive experience as a Corporate Attorney at Hamilton Lane and previously served as the Chief Compliance Officer for Investment Advisory at Janney Montgomery Scott LLC in Philadelphia. Allison specializes in drafting, implementing, and managing investment advisory compliance programs, including conducting annual compliance reviews and overseeing compliance surveillance systems and education programs. She plays a key role in governance committees, advising senior management and business line managers on compliance with regulatory rules and guidance. Her career spans over 25 years in the investment management sector, with a focus on creating and monitoring compliance programs for investment advisers. Prior to her position at Janney, Allison was a Senior Associate at Pepper Hamilton LLP, where she dealt with the organization, registration, and participation in regulatory processes for investment adviser and investment company clients. She has also held similar roles at Stradley Ronon and Drinker Biddle in Philadelphia, representing hedge funds and private equity firms.

Research Interests