Regulatory Compliance & Process Improvement

Provides regulatory compliance expertise specific to the regulated industry served. For Financial Institutions Industry, this includes expertise in securities laws and regulations (e.g., Finra, SEC, Investment Advisers Act, MSRB, NFA), banking laws and regulations (e.g., FFIEC, FRB, OCC, OTS, NCUA, and other). Anti-Money Laundering independent reviews over broker-dealers, hedge funds and banks.  Follow-through with compliance process improvement remediation, vendor selection, program and project management over tools enhancement & implementation.  Senior level reporting of progress against client's goals and objectives.