Bryan Jacobsen

Director

Good compliance equals good business. My experience allows me to bring real-world solutions, ensuring firms can meet their compliance obligations while also helping to grow the business. When compliance and business work in tandem, it is a sure sign of a successful firm.

Bryan Jacobsen is a compliance executive with over 25 years of industry experience. Bryan’s role as a CCO for dual registered broker-dealer / RIAs, clearing firms and crypto-based entities enables him to apply his FinTech, financial, crypto, blockchain, and regulatory knowledge when providing practical compliance solutions. In his CCO role with Cetera Financial Group, Bryan directed the compliance efforts of over 3,000 advisors, including guiding the firm through several regulatory exams and mitigation efforts, as well as leading a $1 million project to create an AML and transaction supervision and monitoring system.

 

Expertise

  • Held CCO leadership roles throughout multiple entities of broker-dealer and registered investment advisor network with over 10,000 representatives and advisors
  • Established Crypto Programs – assisted firm in licensure, regulatory matters, etc.
  • MTL Licensure Process through NMLS (MU1-MU3)
  • Responsible for compliance initiatives of entities focused on Crypto currencies and e-Wallets, an international clearing firm with +1.5 billion transactions per year and for a clearing firm focused on high-net-worth institutional traders
  • AML functions
  • Streamlined vendor risk management process including monitoring and tracking nonpublic personal information
  • Enhanced risk mitigation controls and procedures for FINRA Rule 3210 and SEC Rule 206(4)-7 reporting.
  • Implemented and roll out a new online marketing review system
  • Implemented surveillance technology that resulted in a 30% decrease in expense while increasing efficiency

Career Highlights

  • Chief Compliance Officer, Reserve
  • Chief Compliance Officer, Futu Crypto, Futu Clearing and Futu Inc.
  • Chief Compliance Officer, Apex Financial Solutions
  • Chief Compliance Officer, Resource America LLC
  • Chief Compliance Officer, Cetera Advisor Networks
  • Chief Compliance Officer, Girard Securities
  • Chief Compliance Officer, Cetera Wealth Management
  • Vice President / Assistant Chief Compliance Officer, National Planning Corporation

Publications & Presentations

Oyster Consulting Thought Content

Publications

  • Outside Business Activities: A White Paper from the Financial Services Institute, Inc. Financial Services Institute Whitepaper, June 2017

Presentations

  • Panelist: Working Towards a Productive Relationship with Regulators 2018 IMN Symposium, June, 2018
  • Speaker: The New Fiduciary Landscape 2018 FSI OneVoice, January 2018