Brian is a former Chief Compliance Officer in the financial services industry with over 25 years of diverse experience in compliance, regulatory, risk and audit matters. Brian is also a former regulator with US SEC, US CFTC, NYSE and AMEX. Brian has an extensive track record of constructing, testing and managing comprehensive compliance programs that enable diverse companies to efficiently navigate through a highly regulated, extremely competitive marketplace. He provides in-depth knowledge to address legal, operational, financial and compliance issues with expertise in Trust Regulations, Federal Banking, OCC, and FDIC Rules.

Expertise

  • Executes compliance coverage for a retail investment advisors, broker-dealers and mutual fund company organizations. Provides compliance coverage for an Institutional, Private Client, Trust, Retail Investment Adviser, Private Equity, Broker-bealer and Mutual Fund Company organizations through sales distribution, product development, asset management and institutional relationships.
  • Executes and oversees First Line and Second Line of Defense monitoring and 206(4)-7 and 38a-1 testing programs.
  • Creates, revises and maintains parent company and affiliated entities policies and procedures.
  • Responsible for equity, fixed income and mutual fund compliance including board reporting, affiliated transactions, best execution, due diligence, managing and reviewing trading compliance.
  • Creates and maintains First Line and Second Line of Defense monitoring and testing programs
  • Acts as primary liaison for examinations and audits with internal and external parties including all regulatory bodies including filings; all related ADV and Form BD domestic and international filings; SEC IC Act 38a-1, SEC IA Act 206(4)-7 and FINRA 3120 testing and 3130 board reporting.
  • Executed compliance coverage for retail and institutional Client Services organization which included approximately $250 billion in AUM.
  • Developed, planned and executed an institutional investment advisory platform for two institutional fixed income/structured product RIA subsidiaries; Real Estate CDO funds; Middle Market Loans; financial guaranty reinsurance, balance sheet management/swap vehicles.
  • Provided platform for the securitization of MBS/ABS with AUM of $16.5 billion.
  • Established supervisory compliance structures including field compliance and review for 100 Offices of Supervisory Jurisdiction, 600 branch offices and 1500 registered representatives.

Career Highlights

  • Principal, Bates Group LLC/Moran Consulting LLC
  • Chief Compliance Officer, The Biondo Group LLC
  • Executive Director/Chief Compliance Officer, Sterling Capital Management, LLC
  • Chief Compliance Officer, BSA/AML Officer, Sterling Capital Funds
  • Registered Principal, Sterling Capital Distributors, Inc.
  • Director/Chief Compliance Officer, BSA/AML Officer, TIAA-CREF Teachers Personal Investors Services, Inc.
  • Chief Compliance Officer/Vice President, Structured Credit Partners, LLC
  • Vice-President/Director, NMIS Compliance Services, Northwestern Mutual

Education, Accolades and Industry Commitments

  • FINRA Institute-Wharton Certificate Program, University of Pennsylvania,
  • Certified Regulatory and Compliance Professional Designation (“CRCP”)
  • B.S., Public Accounting, Fordham University
  • CPA Candidate, New York, 2018
  • Member of National Society of Compliance Professionals (“NSCP”)
  • Investment Company Institute, CCO Committees
  • SEC Alumni Committee
  • SIFMA