Armin Sarabi

Armin Sarabi is a Managing Director at Bates Group, bringing extensive experience in regulatory compliance, enforcement defense, risk management, and business strategy within the financial services industry. He works closely with firm leadership to evaluate and optimize compliance program structures and risk management systems. With an enterprise-driven approach, Mr. Sarabi fosters a culture of compliance; enhancing adherence to regulatory standards and driving improved business performance. He offers a broad range of services, including guidance on regulatory developments, compliance program implementation and maintenance, regulatory examinations, mergers and acquisitions, technology integration, and staff training and development.

Mr. Sarabi’s services center on building robust compliance structures and risk management systems that promote a strong organizational culture. He endeavors to empower both leadership and staff through streamlined operations and technology integration, driving efficiency and scalability to deliver an exceptional compliance program and position the organization for sustainable growth in a dynamic, evolving landscape.

Before joining Bates, Mr. Sarabi served as Chief Compliance Officer and General Counsel for multiple SEC-registered investment advisers. Throughout his career, he has also provided counsel to a range of financial industry firms and individuals on various matters. He is a member of the National Society of Compliance Professionals and the Investment Adviser Association and has served as an Adjunct Professor of Law at the University of Denver’s Sturm College of Law, where he taught Contract Drafting and Business Negotiations.