Brian Mccormack

Brian Mccormack Email and Phone Number

Chief Compliance Officer seeking new opportunities
Brian Mccormack's Location
Glen Allen, Virginia, United States, United States
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

Brian Mccormack's Current Company Details

Chief Compliance Officer seeking new opportunities
Brian Mccormack Work Experience Details
  • Futu Clearing Inc
    Chief Compliance Officer
    Futu Clearing Inc Sep 2022 - Oct 2024
  • Alpaca
    Chief Compliance Officer, Broker-Dealer Clearing Operations
    Alpaca Sep 2021 - Sep 2022
    San Mateo, California, Us
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  • Davenport & Company Llc
    Senior Vice President And Chief Compliance Officer For A Regional Broker Dealer
    Davenport & Company Llc Jul 2009 - Jun 2022
    Richmond, Va, Us
    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.
    View
  • University Of Richmond Robins School Of Business
    Adjunct Professor
    University Of Richmond Robins School Of Business 2004 - 2009
    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.
  • First Clearing, Llc
    Managing Director - Compliance Director
    First Clearing, Llc 1998 - 2009
    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.
  • Wachovia
    Managing Director
    Wachovia 1992 - 2009
    San Francisco, California, Us
    Served as the Chief Compliance Officer for First Clearing LLC
    View

Brian Mccormack Skills

Securities Financial Services Series 7 Equities Risk Management Fixed Income Mutual Funds Finra Aml Retirement Planning Investments Capital Markets Anti Money Laundering Series 63 Wealth Management Asset Management Series 24 Investment Advisory Trading Banking Portfolio Management Financial Risk Management Alternative Investments Series 65 Hedge Funds Investment Management Leadership Asset Managment Finance

Brian Mccormack Education Details

  • University Of Richmond
    University Of Richmond
    Masters Of Business Administration
  • University Of Richmond
    University Of Richmond
    Political Science

Frequently Asked Questions about Brian Mccormack

What is Brian Mccormack's role at the current company?

Brian Mccormack's current role is Chief Compliance Officer seeking new opportunities.

What schools did Brian Mccormack attend?

Brian Mccormack attended University Of Richmond, University Of Richmond.

What skills is Brian Mccormack known for?

Brian Mccormack has skills like Securities, Financial Services, Series 7, Equities, Risk Management, Fixed Income, Mutual Funds, Finra, Aml, Retirement Planning, Investments, Capital Markets.

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