Gary Swiman, Cpa, Cfe, Cff, Cams, Cfcs, Jd Email & Phone Number

boutique private wealth manager for cross border families investing in private equity, venture capital, and real estate funds as LP’s as well as direct participation in SPV’s and venture backed start ups

Fort Lauderdale, FL, US

NFA registered Commodity Pool Operator /Hedge Fund focused on trading electricity, FTR’s, congestion, and day ahead in organized ISO markets, PJM, NYISO, MISO, SPP, and ERCOT.

Chicago, IL, US

Head of Regulatory and Compliance Consulting for the Financial Services Advisory practice.-Advised financial institutions on regulatory matters and implementing compliance best practices, including compliance program development, policy and procedure revision, forensic testing and monitoring, onsite training, governance processes and reporting, FINRA.

New York, NY, US

National Practice Leader advising clients to proactively identify, manage and mitigate regulatory risk. -Advised financial institutions how to respond to complex regulatory and compliance challenges. Industries include broker dealer, and advisory clients, investment advisors (RIA, HF and PE), forex, futures, swaps and derivatives, and VC's. -Facilitated.

New York, NY, US

• One of four principals leading a 50 employee consulting firm serving a broad range of financial institutions, such as investment advisers, banks, broker/dealers with both U.S. and international operations, seeking a.
• As the head of the regulatory compliance division at C&A, my responsibilities are to tap into my broad range of both compliance and management skills sets to formulate strategy, both recommendations and implementation.
• These efforts have resulted in expanding C&A’s product offering through the successful implementation of ideas and a self-sustaining regulatory compliance operations division of C&A.

New York, NY, US

• As a partner and the practice group leader of the Asset Management/Broker-Dealer compliance subsidiary of ICS, one my key responsibilities was to build a regulatory compliance consulting practice through the sourcing.
• Additional responsibilities included serving as the strategic leader on engagements to SEC registered investment advisers, advisers seeking registration and broker/dealers. Overseeing a team of seasoned compliance.
• Serving as an expert witness in depositions, representing firms in potential enforcement actions to avert the issuance of a “Wells Notice”, and serving clients in more routine type engagements such as performing Mock.

Responsible for leading teams responsible for conflicts of interest studies, due diligence reviews, AML program assessments and remediation, compliance program development including the drafting Compliance policies and procedures and evaluation, and providing a wide- array risk assessment services to Investment companies, Investment Advisors, Sponsors of.

Colombo, LK

As Global Chief Compliance Officer oversaw all compliance for global investment advisors, investment companies, and closed-end funds. Led a global team of associates across the US, Europe and Asia, setting policies, implementing programs, and handling all financial regulatory issues for state, federal and global regulatory bodies.

New York, NY, US

Served as Global Chief Compliance Officer overseeing all compliance for investment banking, investment management and private capital advisory. Led a global team of 25 associates across the US, Europe and Asia, setting policies, implementing programs, and handling all financial regulatory issues for state, federal and global regulatory bodies.

New York, NY, US

• Developed Firm element module yearly on AML given to every registered person.
• Manage staff of compliance and regulatory professionals in areas such as U.S training to forty thousand employees, internal branch examinations, and interaction with all regulatory bodies through Enforcement process.
• Primary Firm liaison with the SEC, NYSE, NASD, CBOE State Securities Commissioners on all regulatory examinations. Accountable for timely response and resolution of investigations.
• Negotiate with regulatory officials to reduce penalties against the Firm for rule violations.
• Report to the heads of Global Compliance and Global Regulatory Affairs on all regulatory issues and provide guidance to Firm’s Senior Management including reporting to the MLPF’s Board of directors annually.
• Represent senior business executives before the SEC, NYSE and NASD in matters involving formal and informal testimony. Educate executives and Compliance Department on new and existing policies as they relate to.

Tokyo, JP

Responsible for Audit Departments based in United States and London. Served as primary regulatory contact for compliance side of business.Managed relationships with key regulators and drafted compliance policies.Appointed to the Firm's Global Audit and Global Compliance Management Committees.Dually reported to US Chief Executive Officer and Japan's.

Savannah, Georgia, US

1990-19993 received my JD degree degree as a full time student at Fordham Law cum Laude

Jd, Law

Bachelor, Business Administration; Public Accounting Major