Chief Compliance Officer
Futu Clearing Inc
Sep 2022 - Oct 2024
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Brian Mccormack Email & Phone Number
Chief Compliance Officer seeking new opportunities
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Role
Chief Compliance Officer seeking new opportunities
Location
Glen Allen, Virginia, United States
Who is Brian Mccormack? Overview
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Brian Mccormack is listed as Chief Compliance Officer seeking new opportunities based in Glen Allen, Virginia, United States. AeroLeads shows a matched LinkedIn profile for Brian Mccormack.
Brian Mccormack previously worked as Chief Compliance Officer at Futu Clearing Inc and Chief Compliance Officer, Broker-Dealer Clearing Operations at Alpaca. Brian Mccormack holds Mba, Masters Of Business Administration from University Of Richmond.
Profile bio
About Brian Mccormack
I am an experienced Compliance and Audit leader. My previous roles have included CCO for Clearing organizations forbothaffiliated and non-affiliated firm, CCO for a Fintech broker-dealer, and a dual registered broker-dealer and RIA.Provide leadership and develop compliance programs around, AML, Senior Investor Protection, Best Execution and other industry initiatives. Developed and taught an MBA level class titled "Leadership in Financial Institutions" Currently hold the Series 7, 9,10,14,24,27,53 and 63 examinations, and completed the SII Wharton School of Leadership certification program
Listed skills include Securities, Financial Services, Series 7, Equities, and 26 others.
6 roles · 35 years
Brian Mccormack work experience
A career timeline built from the work history available for this profile.
Chief Compliance Officer, Broker-Dealer Clearing Operations
Sep 2021 - Sep 2022
Senior Vice President And Chief Compliance Officer For A Regional Broker Dealer
Served as the Chief Compliance Officer for dual registered broker-dealer and investment advisor. I have experience in all aspects of broker-dealer activity including Capital Markets, Retail Investment, Operations, and registered investment advisory services. I have managed staffs ranging from 7 to 25 people and located in various cities. I serve on various internal and industry committees.I have a strong knowledge of risk management, controls and internal audit, as well as anti-money laundering and senior investors.
Jul 2009 - Jun 2022
Adjunct Professor
University Of Richmond Robins School Of Business
Developed, taught and led an MBA level class in "Leadership in Financial Institutions". The class focused on current leadership challenges and how to handle them. The class utilized a Socratic method of teaching.
2004 - 2009
~5 yrs
Managing Director - Compliance Director
First Clearing, Llc
Served as the CCO for First Clearing LLC and Trading Compliance Manager for Wachovia Securities where overseeing the compliance responsibilities for the Equity and Fixed Income Trading Groups. Previously served as the AML Officer for First Clearing. Managed staff located in various cities.
1998 - 2009
~11 yrs
1992 - 2009
~17 yrs
2 education records
Brian Mccormack education
Mba, Masters Of Business Administration
University Of Richmond
Ba, Political Science
University Of Richmond
FAQ
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What is Brian Mccormack's role at their current company?
Brian Mccormack is listed as Chief Compliance Officer seeking new opportunities.
Where is Brian Mccormack based?
Brian Mccormack is based in Glen Allen, Virginia, United States.
What companies has Brian Mccormack worked for?
Brian Mccormack has worked for Futu Clearing Inc, Alpaca, Davenport & Company Llc, University Of Richmond Robins School Of Business, and First Clearing, Llc.
How can I contact Brian Mccormack?
You can use AeroLeads to view verified contact signals for Brian Mccormack, including work email, phone, and LinkedIn data when available.
What schools did Brian Mccormack attend?
Brian Mccormack holds Mba, Masters Of Business Administration from University Of Richmond.
What skills is Brian Mccormack known for?
Brian Mccormack is listed with skills including Securities, Financial Services, Series 7, Equities, Risk Management, Fixed Income, Mutual Funds, and Finra.
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