COMPLIANCE RISK CONCEPTS - Key Persons
Job Titles:
- Regulatory Compliance Professional
Andreana Guillet is a compliance professional who brings a wealth of expertise to the financial services industry. Andreana began her career at the SEC's Division of Examinations where she worked alongside Examiners to protect investors and ensure compliance with the Investment Advisers Act of 1940. From there, Andreana went on to serve as an Examiner in both the State of Georgia and District of Columbia where she conducted examinations of registered investment advisers to assess their compliance with the securities laws and regulations of each respective jurisdictions. Prior to her current role as a Regulatory Compliance Consultant at CRC, Andreana served as a Private Fund Consultant at RIA-in-a-Box where she specialized in providing compliance support to private fund advisers. Andreana's experience includes, but is not limited to: managing compliance programs, performing annual reviews and mock audits, reviewing marketing materials, customizing regulatory filings, and drafting disclosure documents.
Andreana holds a Master of Business Administration from the University of Maryland, Robert H. Smith School of Business, and a Bachelor of Business Administration in Finance from the University of Georgia.
Job Titles:
- Senior Regulatory Compliance Professional
Expertise
Ashley is an accomplished compliance professional with over 12 years of industry experience. Ashley has extensive knowledge of the rules of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Most recently, Ashley served as a Compliance Officer in the Compliance and Operational Risk Control Department at UBS Asset Management. Her main focus was creating and maintaining a compliance program for the Firm's Mutual Fund Sub-advisory platform. She provided regulatory guidance to the managers and enhanced the on-site due diligence review process by implementing a risk-based assessment for each manager. She was also instrumental in customizing the compliance training program, which covered core topics such as conflicts of interest, personal trading, private securities transactions, outside business activities, political contributions, gifts and entertainment, code of ethics, privacy and data protection, information barriers and anti-money laundering and sanctions.
Biography
Prior to joining UBS, Ashley spent approximately 10 years at Fred Alger Management, Inc. as a Compliance Officer. Her responsibilities included planning, risk-assessment, reviews and forensic testing needed for the annual compliance report; providing regulatory and interpretive guidance to the Investment Advisory and broker-dealer business; conducting trade and communications surveillance; reviewing marketing materials; coding and monitoring of all client investment guidelines and '40 Act restrictions into the trading system; creating and modifying various policies and procedures; oversight of best execution and compliance reporting to the mutual fund board of directors.
Most recently, Ashley served as an AVP in Legal and Compliance at The Blackstone Group. Ashley's provided ongoing advice and support to Blackstone's Real Estate Investor Relations team. In this capacity, Ashley was responsible for assisting with compliance matters surrounding investor suitability, domestic and global marketing registration, marketing material compliance review and investor communications. Ashley also reviewed due diligence responses and other fundraising and reporting related materials across various investment strategies from a legal, regulatory and compliance prospective. Ashley developed educational material and Legal and Compliance trainings, assisted in assessing current and prospective regulatory risk through industry interactions and research and managed all existing investors' legal and compliance requests.
Job Titles:
- Risk and Compliance Professional
Brad Carter is a risk and compliance professional with over 15 years of experience in the banking and fintech industries. Brad is specialized in Fraud detection/deterrence, AML, consumer compliance, crypto/digital assets, gaming regulation, vendor management, and acquiring/issuing partnerships. He attained his bachelor's degree from Central Baptist College and attained his MBA from Webster University. Brad is certified in multiple disciplines including digital assets, fraud, ethics, privacy, GRC, and GRC audit, among others. Brad has worked in the capacity of BSA Officer, Director of Risk/Compliance, Head of Fintech Risk, Payments Risk Manager, Underwriting Risk Coordinator Manager, Branch Officer, & VP of Fintech Risk in the banking and fintech industries.
Job Titles:
- Financial Operations Professional
Expertise
Charlene worked for The PNC Financial Services Group, Inc. ("PNC") for over 35 years until retiring in 2013. During her career at PNC, Charlene performed financial analysis of departments of PNC Bank, assisted in budget preparation, audited departments of PNC Bank, performed analysis of various acquisition candidates, had responsibility for month end close of over 30 subsidiaries of PNC, prepared and reviewed monthly reconcilements, managed over 10 employees and was the designated Financial and Operations Principal ("FINOP") for PNC's numerous broker/dealers.
Biography
Charlene has been a licensed FINOP for approximately 25 years. In her role as FINOP, Charlene was responsible for several of PNC's broker/dealers including both retail and institutional firms and fully disclosed and self-clearing firms. Her responsibilities included filing of FOCUS reports, computation of reserve formula requirements, and preparation of financial statements for year-end audit, review of all reconcilements and general ledger entries and interaction with FINRA and SEC regulators as well as external auditors.
Charlene received her BSBA degree from Robert Morris University and her MBA from the University of Pittsburgh. She was a licensed Certified Public Accountant in Pennsylvania for over 30 years. Charlene currently serves on the FINRA Series 27/28 Qualification Examination Committee.
Job Titles:
- Regulatory Compliance Professional
Clint has more than five years of compliance experience in the financial services industry. In his previous role, Clint supported the compliance program of an independent broker-dealer and investment adviser dual-registrant firm. Prior to that, Clint worked for a local not-for-profit organization and prior to that in the regulatory affairs department of a large electric utility. Clint graduated from Asbury College with a Bachelor of Arts degree in History. Clint also holds a Juris Doctor degree from Florida State University College of Law.
Job Titles:
- Manager
- Associate Director, Engagement Manager
Darren Norwood is an Engagement Manager with over 20 years of experience in the financial services industry. Prior to joining CRC, Darren served as a Compliance Manager at one of the country's largest independent investment advisers with responsibility for the annual 206(4)-7 review and branch inspection programs, registration and licensing functions, serving on multiple internal committees and as the Compliance department's cross-functional liaison for regulatory matters. He also had oversight responsibility for the AML function and branch inspection program at the firm's affiliated broker-dealer. Most recently, Darren spent three years at the North American Securities Administrators Association (NASAA) where he led an 18-month project to stand up a software utility used by state securities examiners to conduct examinations of investment advisers and broker-dealers. In his role, he also provided extensive training to securities examiners, revising and updating examination modules, and data analysis to identify areas where firms struggle with compliance to help drive state regulator examination priorities.
Darren earned a BS in Political Science from the University of Utah.
Job Titles:
- Member of the Executive Leadership and Team
- Principal and Head of Fund and Dealer Advisory
Responsibilities
David is responsible for CRC's business development, client relationship management and for supervising the execution of strategic engagements.
Expertise
David joined CRC in September 2016 from CRT Capital Group LLC, where he served for more than 15 years as Managing Director and Chief Compliance Officer. CRT operated as an institutional brokerage, market-maker and investment bank that specialized in high yield and convertible corporate debt, equities, special situations, capital structure arbitrage, securitized products, U.S. Government securities, debt and equity financings and securities research. As CCO, David managed comprehensive global regulatory compliance programs for CRT's U.S. broker-dealer unit and its FCA-registered UK affiliate, CRT Capital (UK) Ltd. and served as a member of CRT's Enterprise Risk Committee, Policy Committee, New Product Committee and Capital Commitment Committee. David also served as Managing Director and Chief Compliance Officer of Harbor Drive Asset Management LLC, CRT's SEC-registered alternative asset advisory affiliate. HDAM managed Harbor Drive Fund, a special situations-centric hedge fund, Pine Street Institutional Partners LP, a fund of hedge funds, and a variance swap strategy designed for separately managed accounts.
Biography
David's Wall Street career began at Salomon Brothers, Inc., the free-wheeling broker-dealer of Liar's Poker fame. As the Syndicate Desk Coordinator for Salomon's Private Investment Department, David first learned the business from the sales and trading perspective and was immersed in the results-oriented culture of a high-energy trading floor. David then headed to FINRA where, as a Field Examiner, he led comprehensive on-site reviews of the books, records and operations of bulge bracket dealers. After FINRA, David joined UBS Investment Bank, LLC as an Associate Director in its Fixed Income Capital Markets Compliance division with primary responsibility for supporting the firm's Primary Dealership, Rates and Repo Desks.
David earned his BA in Economics from Binghamton University and his MBA in Finance from Fordham University's Gabelli School of Business.
Job Titles:
- Coach
- Executive
- People and Culture Advisor
With over 20 years of HR experience across multiple industries, Debbie is an accomplished executive coach, skilled facilitator, trusted strategic business partner, and leadership/talent advisor. She has spent her career leading teams as SVP, HR Business Partner at Fortune 500 companies in various industries including Financial Services, Energy, and Fashion (retail and manufacturing). With a proven track record for delivery of both large-scale strategic people initiatives and smaller tactical projects, some of Debbie's accomplishments include revamping onboarding practices, facilitating project launches, strategic off-sites and talent reviews, crafting performance management practices, and educating managers and staff on topics including flexible work, goal setting and interviewing skills, as well as Diversity Equity Inclusion and Belonging (DEIB) and Unconscious Bias. She is passionate about helping leaders and teams find their unique voice, leverage strengths, shape their culture, and ultimately reach their full potential.
Debbie holds a BA in Urban Studies from Lehigh University and an Executive Coaching certification from iCoach at Baruch College, Zicklin School of Business.
Job Titles:
- Strategic Communications Associate
Biography
Prior to joining CRC, Dillon graduated Magna Cum Laude from Ithaca College. He studied Integrated Marketing Communications, which centered on sales, public relations, advertising, and marketing. Dillon specifically focused on brand management and digital marketing. His interests lie in videography and directing branded and commercial content. While at Ithaca, Dillon served as the Director of Communications on the board of Ithaca College's 180° Consulting Branch, a student run organization that works with non-profits to develop better communication strategies.
Dillon interned at the Cancer Resource Center of the Finger Lakes as a Strategic Communications intern. His responsibilities included maintaining the Center's social media pages as well as directing a promotional video highlighting the Center's attributes and how they help the local community. Dillon also interned at Compliance Risk Concepts as a Strategic Communications intern. Dillon has directed and maintained CRC-TV, a channel promoting the company's services. Through this internship, Dillon secured a job as Strategic Communications Associate at Compliance Risk Concepts.
Job Titles:
- Senior Regulatory Compliance Professional
Edward Kuhnel joins Compliance Risk Concepts after 20 years of experience in the securities industry with a focus on alternative investments. He successfully held management roles that span both the distribution and investment management of private placement funds, company directs, and hybrid vehicles. His skills and experiences bring a breadth of product knowledge, due diligence, operational management, regulatory compliance and start-up experience for asset managers and broker-dealers.
Before joining CRC, Mr. Kuhnel served as the COO and CCO of Juniper Square Capital managing the tech company's first expansion into capital markets by leading the creation of their broker-dealer, compliance operations, reporting infrastructure and developing real estate investment product offerings. Prior to Juniper Square, Ed served as the CEO and Sole-Principal for i(x) Securities which supported a collection of world-renowned family offices as they sought ESG private company investment opportunities. His efforts and success at the affiliate contributed to the parent company's London public listing in 2022.
On the Registered Investment Advisor side, Mr. Kuhnel was the Chief Compliance and Chief Administrative Officer of Mercury Capital Advisors. In those roles, he launched and was responsible for the firm's first hybrid Private Equity and Hedge Fund multi-series investment vehicle of 30 manager
investment verticals with over 100 limited partners. This included earning the fund alternative investment and retirement account custodial approval on the Fidelity, Schwab, and Pershing platforms. He further negotiated contracts and managed diligence for the firm's direct investments division and served
as a voting member on Mercury's Operation Committee which approved all firm global initiatives. Before Mercury, Edward had similar success as a Partner and Chief Administrative Officer for Alternative Capital Advisors, LLC a multi-strategy series fund of emerging manager hedge funds that allowed clients to construct customized alternative investment portfolios. In this role he created the operational, investor relations and reporting infrastructure for the firm. His career began at Channel Capital Group, LLC, a joint venture between Guggenheim Partners and Cap Z Investments, which directed institutional capital to hedge fund managers. Over that time, he held a wide range of responsibilities that contributed to the allocation of $2.5B of assets from global investors into a diverse range of investment strategies.
Mr. Kuhnel holds a Bachelor of Arts degree from Cornell University. He earned the Chartered Alternative Investment Analyst (CAIA) designation and is a member of the New York CAIA Chapter. Mr. Kuhnel is a lifetime member of the National Eagle Scout Association and has twice been published in Wealth
Management Magazine. He holds Series 7, 24, and 63 licenses.
Job Titles:
- Regulatory Compliance and Operations Professional
Evan Brown is a regulatory compliance and operational professional with 8 years of industry experience. In his previous role, Evan supported the compliance program at Susquehanna International Group. There he worked to enhance the financial regulatory compliance management program, including testing and monitoring, regulatory training, and policy and procedure management. He also drove timely execution of projects, analyzed significant data sets to reduce complexity and designed and implemented compliance policies and procedures. Prior to that, he worked at Morgan Stanley where he supported a top producing wealth management team in all aspects of the business.
Job Titles:
- Chief Operating Officer
- Member of the Executive Leadership and Team
- Principal
- CRC 's Chief Operating Officer
Biography
Jaclyn Bowdren serves as CRC's Chief Operating Officer and is responsible for executing the company's strategic business plans.
Jaclyn is an accomplished compliance professional with more than a decade of regulatory and operational experience. Prior to CRC, Jaclyn served as Chief Compliance Officer for Tripleshot, LLC, a broker-dealer that operated an Alternative Trading System, and played a key role in shepherding the firm through its FINRA new membership application process. Accordingly, Jaclyn has extensive knowledge of the regulatory concerns in connection with electronic trading and possesses significant insight involving regulatory reporting and the intersection of technology and compliance. Prior to Tripleshot, Jaclyn served in various roles for Aritas Securities, LLC, culminating with her promotion to Chief Compliance Officer.
Jaclyn earned her Bachelor of Arts in Psychology from the University of Massachusetts, Amherst. Jaclyn holds Series 7, 24, 63 and 99 securities licenses.
Job Titles:
- Regulatory Compliance Professional
Jennifer is a Regulatory Compliance Professional at CRC with over 20 years of career experience in financial services. During her early career, Jennifer gained experience in back office operations and compliance, where she developed her skillset in registration, supervision and compliance. As a former CCO and AML Officer of an independent broker dealer, Jennifer managed general regulatory compliance, operations, registration, testing, training and firm risk management. She has created and implemented back office process improvements, managed compliance processes, and performed annual reviews.
Jennifer has a Bachelor of Arts in Psychology from Michigan State University and maintains the Series 7, 24, and 66 securities licenses. She also holds the FINRA / Wharton, Certified Regulatory and Compliance Professional (CRCP) designation.
Job Titles:
- Associate Director, BD Registration & Regulatory Advisor
Prior to joining CRC in 2022, Jonathan spent more than a decade as a securities attorney and regulator, first serving a New York City-based law firm where he supervised 10 attorneys preparing complex mortgage-backed securities "put-back" litigation. Jonathan then moved to FINRA where he spent six years as an examiner in FINRA's cycle exam program, conducting exams of broker-dealers across industry verticals before being elevated to serve as an Application Manager in FINRA's Membership Application Program ("MAP") group, overseeing a team of examiners reviewing New and Continuing Membership Applications, Materiality Consultations, Two Principal Waiver requests, and Membership Agreement Change requests.
Jonathan earned a Bachelor of Arts degree in Philosophy from Siena College, and his Juris Doctor from Pace University's Elisabeth Haub School of Law.
Job Titles:
- Regulatory Compliance Professional
Julie Ivers is a regulatory compliance professional at CRC. She began her career as a Judicial Assistant in the District Court system in Utah before joining the Financial Services Industry. She worked for an RIA as a Relationship Manager, and then a Compliance Manager. Her responsibilities included managing client relationships, on-boarding, advertising review, and general regulatory compliance for the firm.
Julie has a Bachelor of Arts in Political Science from Brigham Young University-Idaho.
Job Titles:
- Associate Director, Client Advisory and Regulatory Research
Expertise
Kaitlyn joined CRC in 2017. She is a regulatory compliance professional with 7 years of experience in the financial services industry. Kaitlyn has extensive knowledge of the rules of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. She previously managed compliance processes and performed forensic testing in her role as Compliance Analyst at Welch & Forbes LLC.
Biography
She has experience performing annual reviews and risk analyses, regulatory research, as well as Code of Ethics administration. Her primary focus areas include, process implementation and enhancement, cybersecurity, marketing materials review, private equity investment compliance, and investment portfolio compliance. Most recently at CRC, Kaitlyn has performed regulatory research, evaluated compliance programs, and performed annual reviews and risk assessments for investment advisors.
Kaitlyn holds a Bachelor's Degree in English from Boston University.
Job Titles:
- Regulatory Compliance and Operations Professional
Kim Matisoff is a regulatory compliance/operations professional with 10 years experience in the financial service industry. Prior to CRC, Kim served as a Compliance Analyst at Eaton Vance, where she was involved in all aspects of the Broker Dealer compliance program. In her role, she lead supervisory controls testing; managed all training features; conducted branch and non-branch inspections; advised employees on entertainment and gifts; maintained policies and procedures including the WSP; conducted annual Needs Analysis; and assisted with employee registrations.
Kim earned her MBA from Assumption University. She also received a Bachelor of Arts in Accounting, as well as Economics from Assumption University. Kim holds Series 7, 24, and 66 securities licenses.
Job Titles:
- Senior Regulatory Compliance and Financial Operations Professional
Kim is a highly experienced professional with over 22 years of expertise in accounting, tax, and financial operations. Throughout her successful career, she has held prominent positions such as Chief Financial Officer and AML Compliance Officer for various brokerage, insurance, and investment advisory firms. Additionally, she served as the President of a brokerage firm, where she demonstrated her exceptional leadership abilities.
One of Kim's key responsibilities in these roles was serving as the firm's FINOP, ensuring compliance with the financial reporting and regulatory requirements mandated by FINRA and the SEC. Her in-depth knowledge and expertise in this area allowed her to effectively navigate the complex landscape of financial regulations.
Earlier in her career, Kim served as an Operations Manager for a registered branch office. During this time, she was entrusted with completing the FINRA membership application, showcasing her meticulous attention to detail and proficiency in regulatory processes. Her involvement in the FINRA membership process sparked her interest in assisting other firms in acquiring broker/dealer firms. In this capacity, she developed operational workflows for reporting and regulatory compliance, further solidifying her reputation as a skilled professional in the field.
Kim holds a Bachelor of Science degree in Finance and a range of licenses, including series 7, 24, 27, 63, 82, and 99, demonstrating her commitment to professional growth and staying updated on industry standards.
Biography
Kris is a compliance professional with more than 20 years of experience in both Asset Management and Financial Services industries. Prior to joining CRC, Kris served as a Principal Compliance Advisor with Nuveen, a TIAA company reviewing marketing materials primarily relating to the Firm's Digital strategies. Kris also worked at Transamerica Asset Management in several different roles, including managing staff of marketing compliance review analysts, performing branch audits of the firm's retail broker/dealer and various functions relating to the Fund Complex compliance department. Kris has extensive knowledge and experience with advertising and marketing communications regulatory rules.
Kris has a Bachelor of Arts in Marketing and Management and also holds the Series 7, 24, 63 and 65 securities licenses.
Biography
Kristy has been involved in the day-to-day operations of CRC since its founding in 2013. She works closely with the executive leadership to ensure all business functions of the organization run smoothly, including Human Resources, Accounts Payable, and Accounts Receivable. In addition to her role at CRC, she coordinates back office shared services and is responsible for a number of strategic planning initiatives for CRC's affiliate companies throughout the US. Kristy also has 8 years of experience in the executive recruiting and staffing industry, overseeing operations at CRC's sister company JW Michaels & Co. She previously managed online advertising and coordinated special projects for two daily newspapers.
Kristy holds a Juris Doctor degree from Penn State Dickinson School of Law and a Bachelor of Business Administration degree in Management from Texas A&M University.
Job Titles:
- Regulatory Technology Implementation Analyst at CRC
Lauren Mitchell is a Regulatory Technology Implementation Analyst at CRC. She previously worked as a compliance analyst for consulting firms in New York and Chicago. Her responsibilities include solution implementation for various regulatory platforms, project management, and general compliance support.
Lauren has a Bachelor of Arts in English from Montclair State University.
Job Titles:
- Associate Director, Head of Investment Advisory Support
Biography
Lilian Colpas is Associate Director, Head of Investment Advisory Support specializing in broad investment advisory compliance matters. Lilian's background in legal and compliance spans over 19 years. Lilian focuses on assisting her clients in managing their compliance programs and advises on matters related to ongoing regulatory compliance including the review and revisions of policies and procedures, Code of Ethics review and testing, investment adviser registration, compliance calendar maintenance, marketing assistance, SEC examinations, regulatory filings, forensic testing, best execution reviews, gap analysis, 206(4)7 annual reviews, outsourced CCO. Lilian leads a team of compliance professionals who advise clients on ongoing regulatory compliance matters.
Lilian's career includes compliance management roles at investment advisory firms including Davidson Kempner Capital Management, as well as experience as a paralegal at AIG and Sidley Austin. Lilian is a United States Navy veteran who served one tour of duty in Baghdad, Iraq, and was responsible for the analysis and dissemination of intelligence information. Lilian earned her Bachelor of Arts Degree from DeSales University, her paralegal certificate from Fairleigh Dickinson University and is pursuing her Master's Degree from Seton Hall University.
Job Titles:
- Senior Regulatory Compliance and Financial Operations Professional
Marie Katz has worked in the industry for over 25 years and brings a wealth of executive leadership through senior roles across compliance, finance, and risk for premiere organizations, including AIG Global Capital Markets, Bank of America, Royal Bank of Scotland and The New York Stock Exchange. Marie has also worked directly for FINRA as a Senior Examiner and maintains involvement as a FINRA Arbitrator. Given Marie's background as an equity analyst, she is widely recognized for her ability to bridge corporate strategy with financial projections alongside regulatory and compliance requirements for best practice-based infrastructure. Marie graduated with a B.A. in Political Science from Binghamton University and received her MBA from Fordham University.
She maintains the FINRA Series 7, 24, 27, 53, 63, 79 and 99 licenses.
Michael Durette is the Chief Revenue Officer for Compliance Risk Concepts. In this role, Michael is responsible for the company's revenue-generation strategy and execution as well as the company's go-to-market approach.
Prior to his role at Compliance Risk Concepts, Michael was a Principal, Chief Compliance Officer and Investment Committee Member of Nest Egg, a fintech company and digital advice platform designed specifically for Financial Institutions. During his time at Nest Egg, Michael helped oversee and execute the integration of the company with their Regional and Community Bank partners in addition to being the Chief Compliance Officer for the company's Investment Adviser and Broker-Dealer. In addition to his role at Nest Egg, Michael spent the last 12 years as a Portfolio Manager and Investment Committee member of Addison Capital, a boutique Investment Adviser. In this role, Mr. Durette was the Head of Institutional Partnerships and managed Addison Capital's Regional and Community Bank clients, as their outsourced Chief Investment Officer. Michael previously worked at Fisher Investments and began his career in financial services at Citigroup, Smith Barney.
Michael maintains the Series 6, 24, 51, 62, 63, 65 and 99 securities license designation. He obtained his bachelor's degree in history from the University of Maryland, College Park.
Job Titles:
- Founder
- Managing Partner
- Member of the Executive Leadership and Team
- Founder of Compliance Risk Concepts, Explains the Surging Popularity Behind Bitcoin and Whether.
Responsibilities
Mitch is responsible for business development, relationship management and overseeing the execution of all client driven / business focused Compliance and Ethics Risk Management strategic engagements.
Biography
Prior to launching CRC, Mitch was a member of Corporate Leadership Group (CLG) at Lincoln Financial Group (LFG) where he was Senior Vice President and Chief Ethics and Compliance Officer, having direct oversight of the company's anti-money laundering, privacy, ethics and compliance risk management programs. In addition, Mitch maintained responsibility for Lincoln's entire Compliance and Ethics Technology strategic initiatives, developing and implementing a long term strategic approach to upgrade and modernize the effectiveness and efficiency of Lincoln's overall Compliance programs. Mitch was a member of the Social Media Governance Committee, having direct influence regarding LFG's overall strategy toward the enablement and usage of Social Media outlets across the LFG footprint.
Throughout the course of Mitch's 25+year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds such as Wachovia Capital Markets, PNC Bank and D E Shaw, developing an extensive knowledge of both buy side and sell side businesses, with a deep understanding of Equity and Fixed Income Markets, Derivative Instruments, Structured Products and Variable Products, Mitch is the epitome of executive leadership.
Expertise
Throughout his career, Mitch has built Compliance Risk Management programs to support the manufacturing / origination and distribution of proprietary products (closed architecture), as well as source third party products on behalf of customers / client relationships (open architecture). During this time frame, Mitch has served in a leadership role, building and integrating Compliance teams to be a meaningful and sought after component of the business process.
Mitch maintains the Series 4, 7, 9, 10, 24, 55, 63 securities license designations. He obtained his bachelor's degree in economics, graduating magna cum laude from the State University of New York at Oneonta.
Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether......
Job Titles:
- Senior Regulatory Compliance Professional
Paige Rand is a Senior Regulatory Compliance Professional at CRC with extensive experience in the broker-dealer industry. Previously, Paige was Chief Compliance Officer at an investment banking firm headquartered in Boston with offices throughout the U.S. and Europe and was responsible for the implementation and execution of their compliance program. She was with the firm since its inception in 2003 and was part of the firm's significant growth over 18 years. She also worked in various departments within the firm including investment banking, institutional research, trading, private equity, and oversaw the firm's expansion into international markets. Earlier in her career, Paige was part of Smith Barney's institutional fixed income group and Morgan Stanley's institutional research team and brokerage division. Paige received her B.A. in Political Science at Wheaton College and maintains the FINRA Series 62, 79, 24 and 99 licenses with more than 20 years of experience in the financial industry.
Job Titles:
- Member of the Executive Leadership and Team
- Principal and Head of Execution Services
Responsibilities
Roland is responsible for the business development and execution of CRC's compliance engagements. Most recently, he was Director at Wells Fargo Securities, LLC's Compliance Department. He was responsible for overseeing the Equity Derivatives compliance program covering Structured Products, Corporate and Equity Derivatives, Convertible Securities, and Equity Finance sales and trading desks.
Expertise
Roland has extensive experience in regulatory, compliance and compliance technology matters in the equity derivatives, structured products and convertible securities space.
Roland has the 7, 63, 4, 24, 55, 3, 8 securities licenses. Roland graduated with a B.A. in Economics from Hunter College, CUNY.
Biography
Prior to Wells Fargo, Roland was at Bear Stearns covering its Equity Derivatives Sales and Trading Desks and JP Morgan's Compliance Surveillance unit covering its listed options activity. Prior to JP Morgan, Roland worked at Salomon Smith Barney's Retail Compliance Department helping in the coverage of the company's large retail options business.
Job Titles:
- Senior Regulatory Compliance Professional
Sam Fleischman is a Senior Regulatory Compliance Professional at CRC with extensive experience in the broker-dealer industry focusing on Control Room, Investment Banking, Capital Markets, Research and Information Barriers practices. Sam started his career as a Compliance Surveillance analyst at Shearson Lehman Brothers and has worked in Compliance functions at other noteworthy firms; Drexel Burnham, Bankers Trust, NatWest Securities, Citibank where he was the Compliance officer for Loan Origination and the secondary Loan trading desk, Donaldson, Lufkin & Jenrette (DLJ), Credit Suisse and most extensively at UBS where for the majority of his time, he was the Head of the Control Room, Head of Compliance advisory for the Investment Banking Department and global administrator for the internal Compliance Control Room systems; working in both the UBS Los Angeles & New York offices.
Sam received his B.S. in Marketing/Advertising at Indiana University and maintains the FINRA Series 4, 7, 8, 9, 10, 14, 24, 63 & 79 licenses with more than 30 years of experience in the financial industry.
Job Titles:
- Associate Director, Compliance and Financial Operations
Expertise
Prior to joining Compliance Risk Concepts, Scott was employed as a Principal Examiner at FINRA from 2005 to 2016. Scott's responsibilities at FINRA included sales practice and financial examinations of member firms. Sales practice examinations entailed detailed reviews of member firms' systems of supervision and control, reviews of policies governing marketing and sales of financial products and services (equities, mutual funds, corporate and municipal debt), and detailed reviews of broker-dealers' anti-money laundering compliance programs. Financial Examinations involved verification of the accuracy of General Ledgers, Trial Balances, Income Statements, Balance Sheets, Net Capital Computations and FOCUS Filings for a diverse universe of broker-dealers.
Biography
Prior to his employment at FINRA, Scott was employed as a Chief Examiner at the Chicago Board Options Exchange ("CBOE"). As the sole representative of the Regulatory Services Division in New York City, Scott was responsible for completion of the Exchange's annual Designated Options Examining Authority ("DOEA") commitment in New York City which included sales practice and financial reviews of member firms' retail, institutional and proprietary options businesses.
Before his time at the Chicago Board, Scott worked for the NASD performing pre-membership reviews and interviews in addition to conducting FOCUS filing reviews and routine financial and sales practice audits of large and small member firms.
Scott received his Bachelor of Arts in Economics from Queens College, City University of New York. He holds the Series 27 (Financial and Operations Principal) License.
Job Titles:
- Financial Operations Professional
Stuart brings over 30 years of experience in the financial services industry serving in financial and operational roles for multiple broker-dealers and regulatory agencies. Most recently, he served as Chief Financial Officer of TMC Bonds LLC where he was responsible for financial and regulatory reporting, accounting, human resources, credit, billing and treasury and served as Principal Operating Officer at its affiliate, ICE Securities Execution & Clearing, LLC where he oversaw its clearing and operations functions. Prior to TMC and ICE, Mr. Henderson worked at Knight Libertas as the Chief Operating Officer. He was also an examiner at both the NYSE and FINRA.
Job Titles:
- Regulatory Compliance and Operations Professional
Tim Costello is a regulatory compliance and operations professional with 8 years of experience in the financial service industry. Prior to CRC, Tim worked at Excel Securities & Associates Inc., a full-service independent broker dealer and RIA. Tim spent the last four years at Excel as the Director of Operations, where he worked alongside the COO to monitor and maintain the compliance program and day to day operations of the business. In his role he was a member of the cyber security team; maintained and traded the accounts attached to models of the managed account platform; supervised the new account opening process; performed daily trade monitoring, monthly and quarterly financial reports; was a vendor liaison helping to train the FAs and RRs in the use of the firm's different online tools and platforms; helped with onboarding new employees and performing branch office inspections.
Tim received his Bachelor of Arts degree in Political Science and MBA from Alfred University. Tim holds Series 7 and 24 securities licenses.