Brian Moran Email and Phone Number

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 FINRA Broker/Dealer, Investment Adviser, Investment Company, Trust Regulations, Federal Banking, OCC, and FDIC Rules.ExpertiseExecutes compliance coverage for a retail investment advisers, broker-dealers and mutual fund company organizations. Provides compliance coverage for an Institutional, Private Client, Trust, Retail Investment Adviser, Private Equity, Broker/Dealer and Mutual Fund Company organizations.Responsible for equity, fixed income and mutual fund compliance including best execution, due diligence, managing trading compliance, mutual fund board reporting and affiliated transactions.Executes and oversees First Line and Second Line of Defense monitoring and 206(4)-7 and 38a-1 annual report 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 programsActs 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.