MRB REGULATORY CONSULTING - Key Persons
Greg Wagner is a Founding Principal of MRB Regulatory Compliance, LLC. Since 2012, Mr. Wagner has been a stakeholder and lead director on the Advisory Board of Hardin Compliance Consulting, LLC https://mrbregconsulting.com. In this role Mr. Wagner has helped champion and mold the strategy to rapidly grow the firm. As an advisory board member, he has had significant exposure to the strategic and operational aspects and processes of a large and successful regulatory compliance firm serving the Finance Industry and SEC registrants.
Prior to this exposure, Mr. Wagner was the Principal Founder of ValuEngager, LLC http://valuengager.com/index.asp a boutique consulting firm that focuses on CEO and leadership coaching , Employee Engagement and Value Proposition Development and Validation.
Prior to executive consulting at ValuEngager, Mr. Wagner had a proven track record as an officer and global business unit P&L Senior VP in a large multibillion-dollar global chemical manufacturing company. In his over twenty-five-year career in the chemicals business he had significant exposure to environmental government regulations and regulators.
His decades long experience in various leadership roles in the chemicals business globally has provided a solid foundation regarding the importance of high risk and high liability government regulatory compliance. His exposure to public company boards has served him well in understanding the constraints and responsibilities Boards and CEOs face from a governance, compliance and regulatory perspective. Mr. Wagner's large global business unit P&L experiences and five-year European Ex-Patriot assignment developed an understanding of the broad range of compliance nuances when dealing with different governments and their unique regulations. As a former Malcolm Baldrige Award auditor, he brings a broad and deep understanding of Client Satisfaction. This in conjunction with his love of Business Process Improvement (BPI ) in the areas of, Lean Process Improvement, Kepner Tregoe Methods, 5S and Six Sigma tools from his chemical days are a valuable skill set in designing and launching new lines of business and back office support operations.
In short, all this experience has served him well in his transition to the financial regulatory compliance space in 2012.
Mr. Wagner is a 1984 graduate of Miami University's Farmer School of Business, Oxford Ohio.
Matthew S. Hardin, is a Founding Principal of MRB Regulatory Compliance, LLC and the President and CEO of Hardin Compliance Consulting, a limited liability company headquartered in Warrendale, Pennsylvania. Mr. Hardin is a securities attorney, regulatory compliance consultant, and expert witness. He is licensed to practice law in Pennsylvania, Missouri, and Illinois. Mr. Hardin consults with firms throughout the United States on regulatory legal, compliance, and risk management issues, performs due diligence, compliance reviews, and internal investigations of SEC registrants such as broker-dealers, investment advisers, and mutual Funds.
Mr. Hardin has over twenty-eight years of experience in the financial services industry, including six years with the broker-dealer and investment adviser affiliates of PNC Financial Services Group, Inc., three years with the mutual fund complex of Federated Investors Inc., four years at Banc One Corporation, and four years at the United States Securities and Exchange Commission in the Division of Enforcement.
During his years at PNC and Banc One, Mr. Hardin was responsible for the legal, compliance, and risk management functions of the firms' retail securities operations. In addition, he handled numerous arbitrations and mediations, complaint resolution, compliance policies and procedures, written supervisory procedures, regulatory examinations/investigations and internal investigations. Mr. Hardin was a participating member in the firms' board of directors, compliance committee, and disciplinary committee. He was also responsible for the legal and compliance issues surrounding broker transition for new hires as well as those leaving the firm. At Federated Investors Inc., Mr. Hardin was fund counsel to mutual funds sold through the broker-dealer channel and was responsible for legal support to the wholesaling force.
Mr. Hardin has acted as Chief Compliance officer for various registered investment advisers, broker-dealers, and mutual funds. He has developed and implemented numerous compliance and supervisory training programs, and has written supervisory policies, procedures, compliance manuals, operations manuals, audit programs, and software specifications, to ensure compliance with a variety of securities banking, and federal regulations.
Moreover, Mr. Hardin has provided support to defend regulatory enforcement actions, as well as litigation, arbitration, and mediation cases involving disputes between customers, broker-dealers, and registered representatives (including fact analysis, document production, strategic advice on the case and possible methods of resolving the issue in dispute, and expert opinion with respect to regulations, business practices, record maintenance and retention, sales practice, suitability, and supervision).
Mr. Hardin holds Series 7, 24, and 66 securities licenses. He received a bachelor of science in business administration from the University of Dayton in 1983, a juris doctor from Pepperdine University in 1986, and his master's of law in federal securities regulation from Georgetown University in 1987.
Rochelle A. Truzzi is a Partner at MRB Regulatory Consulting LLC and a Managing Director at Hardin Compliance Consulting. She has worked in the securities industry for over twenty-five years and has extensive broker-dealer and investment adviser regulations and compliance experience. Ms. Truzzi has been responsible for the coordination of new membership application for several broker-dealer firms as well as the management of the licensing and registrations of many firms and all associated persons. In addition, Ms. Truzzi has experience in the development of written supervisory procedures as well as anti-money laundering, business continuity, compliance, and continuing education programs tailored to firms' specific needs.
Prior to joining Hardin Compliance Consulting LLC in September of 2006, Ms. Truzzi served as a Securities Project Manager for The PNC Financial Services Group, Inc., where she served as the regulatory liaison to the SEC, FINRA and State Regulatory Agencies as well as coordinated all broker-dealer examinations for PNC. She assisted in the development and management of the control room for PNC's broker-dealers, instituting a watch list and restricted listed while working closely with the department heads (originations) and research.
Ms. Truzzi is a certified anti-money laundering specialist ("CAMS") and holds Series 7 and 63 securities licenses (currently inactive). She received a Bachelor of Science in accounting from Grove City College in 1991.