Chief Compliance Officer
COMPLIANCE | FINRA | TEAM LEADERSHIP | REGULATORY REPORTING | SEC REGULATIONS AML COMPLIANCE | RISK MANAGEMENT | PROJECT MANAGEMENT | FINANCIAL SERVICES Results-oriented, dynamic executive with over 20 years of diversified regulatory and compliance experience within public and private firms. Proven ability to increase productivity, mitigate risks, and achieve significant business outcomes. Leads broker-dealer, investment advisory, asset management, insurance, and other compliance functions. Recognized FINRA expert with all relevant certifications (Series 7, 24, 66). Able to represent the firm and add significant value through forging significant relationships with regulators. Currently serving on the FINRA NY Regional Committee and previously served as a regulator with FINRA’s NJ District Office. Areas of Expertise Leadership • FINRA Committee • Team Leadership • Speaking Engagements • Committee Membership • Regulatory Liaison • Executive Representative Compliance • FINRA, SEC, NFA, and CFTC • Regulatory Management • AML • Risk Management • Testing & Monitoring • Audits & Examinations Financial Services • Broker Dealer • Investment Advisory • Asset Management • Alternative Investments • Investment Management • Insurance Products
Current Role
- Company Name: Advisor Group
- Job Title: Chief Compliance Officer
- Start Date: May 2022
- Company Industry: Financial Services
- Location: New York City Metropolitan Area
Previous Company:
- Company Name: Triad Advisors
- Job Title: VP, Chief Compliance Officer
- Start Date:
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