David Zack Email & Phone Number

New York, Ny, Us

An experienced securities industry professional responsible for all facets of the Finance and Compliance functions for the North American office of a global regulated financial services firm.

Providing regulatory consulting advice to broker-dealers and investment advisors in all facets of business including, but not limited to, governance, risk, compliance, AML, internal audit, business continuity, and cyber security.

Chatham, Nj, Us

Leads all facets of the Compliance and AML effort of a full-service U.S. Securities and Exchange Commission registered broker-dealer, member FINRA. Principal liaison to all regulators in responding to regulatory inquiries and examinations. Subject matter expert in the use of risk matrices and exception reporting and with regard to building relationships with Front Office personnel to both mentor and advise with a view towards maximizing success in a compliant fashion.

Leads all facets of the Compliance and Anti-Money Laundering effort of a full-service U.S. Securities and Exchange Commission registered investment adviser specializing in municipals, fixed income, and equity products and strategies.

Provided regulatory consulting advice to broker-dealers and investment advisors in all facets of business which included, but were not limited to, governance, risk, compliance, AML, internal audit, business continuity, and cyber security.

New York, Ny, Us

Managed the Compliance function of Seaport Global Securities LLC, a broker-dealer registered with the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority headquartered in New York and New Orleans.Supervised all facets of the Compliance Department with an emphasis on the compliance and oversight for all aspects of the Investment Banking Department and the production of written research by the Equity and Debt Research Department.

Montrouge, Fr

Managed the compliance effort for the broker-dealer subsidiary of a large global financial institution including: revision and approval of firm policies and procedures, trade surveillance, risk matrices, surveillance of electronic communications, monitoring of employee account trading policies and continuing education.Served as Anti-Money Laundering Officer responsible for the creation and implementation of the firm's AML program and compliance with USA Patriot Act and Bank Secrecy Act including trade surveillance, filing SARs if appropriate, and investigated operational and trade irregularities.

New York, Ny, Us

Led the company's internal regulatory compliance efforts inclusive of five U.S. Securities and Exchange Commission registered broker dealers. Advised Global Chief Compliance Officer and General Counsel on the application of existing or prospective securities regulation and conducted research on a variety of regulatory topics and provided guidance regarding same.

Washington, Dc, Us

Supervised all accountants and examiners in the broker-dealer group of the Office of Compliance Inspections and Examinations (“OCIE”) in Washington, DC.Reviewed examination work papers, reports, and memorandum that encompassed a broad array of regulatory compliance issues including the evaluation of financial statements, risk management and internal or financial controls.

Bala Cynwyd, Pennsylvania, Us

Prepared financial statements, general ledgers, and work papers for five U.S. Securities and Exchange Commission registered broker-dealers, member Financial Industry Regulatory Authority.Prepared federal, state, and local income tax returns for the parent holding company's five affiliated entities; supervised two bookkeepers.

Certified Regulatory And Compliance Professional, Compliance

Bachelor Of Science, Accounting

Master Of Science, Taxation