Dave Nash Email & Phone Number

Atlanta, GA, US

Understand complex regulatory requirements, such as Fundamental Review of the Trading Book, and Fair Value (as prescribed under IFRS 13, FASB ASC-820, and SEC Rule 2a-5), and develop data driven solutions to those requirements. Become subject matter expert, with a deep understanding of the market direction, user needs, data requirements, and solutions.

New York, NY, US

• Understand the business and regulatory issues faced by entrepreneurial clients and deliver innovative solutions to complex challenges. Key tasks included:
• Deliver strategic guidance to help clients achieve business objectives while staying ahead of evolving regulatory requirements and best practices.
• Counsel clients in preparation for, and response to, regulatory examinations and requests from securities regulators.
• Prevent and mitigate business, compliance, and regulatory risk.
• Assist during regulatory examinations and respond to deficiency letters.
• Prepare and amend disclosure documents for clients.

New York, NY, US

• Developed business and regulatory compliance content to help registered investment advisers. The content covers topics such as employment transitions, the broker protocol, standards of professional conduct, Form ADV.
• Support company spokespersons preparing messaging points, outlines, and presentations for their participation in media appearances and speaking engagements.
• Prepare articles and white papers; draft comment letters to each major proposed law rule and regulation impacting our clients.
• Review and revise content in response to changes in service offerings
• Provide materials and conduct compliance training on an array of topics from manager due diligence to compliance testing

New York, NY, US

• Provided the technology to empower regulatory compliance leaders who ensure fair markets and investor protection. Key tasks included:
• Lead and develop the Early Adopters program with Marketing and IT.
• Define the roadmap for our new flagship platform.
• Communicate the new roadmap to staff, clients, prospects, and the public.
• Serve as SME to our development team.
• Document and provide client feedback to be a prime advocate for the user experience.

New York, NY, US

• Led our winning customer success team to a 97% renewal rate and 90% customer satisfaction rate. Team delivered exceptional service in delivering our product and vision. This included recommendations on the best.
• Personal Trade Surveillance
• Code of ethics monitoring
• Conflicts management
• Maintenance of trading classifications
• Restricted lists

Bachelor'S Degree, Political Science And Government

Doctor Of Law (Jd)

Master Of Business Administration (M.B.A.), Accounting