When I work with a client I can see the whole picture to support identifying potential risks within a compliance program. My clients appreciate my responsiveness and common sense approach to assisting with their business practices.
With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers and broker-dealers and additional experience specializing in regulatory compliance for investment companies. He also works with both broker-dealers and investment advisers providing CCO Support, conducting annual reviews, mock audits and gap analysis. Dean has also led institutional sales, trading departments and has supervised back office and clearing matters on institutional and retail levels. Dean has worked as a Chief Compliance Officer for large, mid-sized and small firms, where he led strategic efforts including establishing and maintaining compliance programs, supervising trading operations, and managing the affairs of these entities.
- As Chief Compliance Officer of a large broker-dealer, revised the compliance program, managed business affairs, and led regulatory initiatives
- Chief Compliance Officer of registered investment companies and the investment advisers managing their Funds
- Chief Compliance Officer of an investment adviser conducting model portfolio management
- Provides comprehensive guidance and assistance to clients preparing to comply with the Regulation Best Interest Rule. This includes a review of the client business, assessment of potential impact on client’s accounts including existing conflicts, revisions to compliance and supervisory processes, product offerings, and technology platforms. Provides best practice recommendations and the implementation process
- Supervised and controlled trading areas, overlooking trade executions of broker-dealers, determining appropriate investments with salespeople for institutional and retail customers
- Develops and monitors AML, Cybersecurity, Continuing Education and Business Continuity programs
- As Chief Compliance Officer of a mid-size broker-dealer, created, monitored and modified the compliance program and cooperated with regulators during audits and examinations
- Led conversion of broker-dealer to an investment management firm
- Trained brokers and introduced appropriate sales strategies with a commitment to client service
- As an institutional broker at a major Chicago-based financial services company, established investment strategies for institutional clients, produced performance reports for money managers, helped determine appropriate trading strategies for execution and directed block trades
- Chief Compliance Officer and Vice President, M Holdings Securities, Inc., M Financial Investment Advisors, M Fund and M Wealth
- Partner, CCO, Director of Trading, Sterling Investment Services, Inc.
- Institutional Account Manager, Rose & Company Investment Brokers, Inc.
- Retail Account Representative, Rose and Company Investment Brokers, Inc.
- Assistant Trading Desk Associate, Rose and Company, Chicago Stock Exchange