Keith Marks

Keith Marks Email and Phone Number

Compliance Professional, Attorney @ F.L.Putnam Investment Management Company
Keith Marks's Location
Lakeville, Connecticut, United States, United States
Keith Marks's Contact Details
About Keith Marks

More than two decades of solutions for investment advisers and broker dealers. From registrations to policy and procedure management through SEC exam management, I have worked through the era of the development of the compliance program rule and many other regulations. I have managed educational platforms for compliance officers and developed Form ADV and policy templates used by thousands of firms. In 2000, I received my Investment Adviser Compliance Specialist designation from National Regulatory Services, which program we then jointly developed into the IAACP with IAA. All the best everyone.

Keith Marks's Current Company Details
F.L.Putnam Investment Management Company

F.L.Putnam Investment Management Company

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Compliance Professional, Attorney
Website:
flputnam.com
Employees:
133
Keith Marks Work Experience Details
  • F.L.Putnam Investment Management Company
    F.L.Putnam Investment Management Company
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  • Kelleher Financial Advisors
    Chief Compliance Officer
    Kelleher Financial Advisors Oct 2022 - Present
    New York, Us
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  • Compliance Solutions Strategies
    Executive Director
    Compliance Solutions Strategies Jan 2017 - Jun 2022
    New York, New York, Us
    Keith was involved in the management and distribution of Compliance Solutions Strategies’ (CSS) products and services. Keith worked across CSS to find compliance, regulatory data and reporting solutions that investment managers need. Keith coordinated a team of Directors, Consultants and Compliance Managers who providing outsourced compliance services, including CCO outsourcing, annual compliance program reviews, risk assessments, on-site mock examinations, registration services, cybersecurity services, e-comms surveillance, trading analytics, and code of ethics management. Services are provided to institutional managers, private fund managers, retail wealth advisors, broker dealers and registered investment companies. He also helps coordinate educational conference agendas and speakers. Keith is an author, product contributor, and thought leader. His product contributions have included the design of Ascendant’s FREE Form ADV Part 2 Template distributed to over 6000 advisers in 2010-12, the development of CSS's Compliance Management software, and the production of the Form CRS Automator.
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  • Ascendant Compliance Management
    Partner, Senior Consultant, General Counsel
    Ascendant Compliance Management Apr 2007 - Jun 2022
    Salisbury, Ct, Us
    Ascendant was acquired by CSS near the end of 2016.
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  • National Regulatory Services
    Consultant & Director, Investment Adviser Consulting Services
    National Regulatory Services Sep 1999 - Apr 2007
    Lakeville, Connecticut, Us
    I began as Consultant and registered countless investment advisory firms. Prior to leaving NRS, I managed the Investment Adviser Consulting Services providing mock examinations, risk assessments and annual reviews, and regulatory filing services. Memorable career highlights include panels with SEC Associate Counsel Gene Gohlke helping advisers understand email record retention requirements shortly after Y2K. Also, working with the Investment Adviser Assoc. to develop the IACCP designation and drafting Evolution Revolution for a number of years, along with multiple publications in the Schwab Compliance Review.
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  • Day Pitney Llp
    Associate
    Day Pitney Llp Sep 1997 - Sep 1999
    New York, Ny, Us
    Legal practice, litigation specialist; employment law.
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  • Connecticut Supreme Court
    Clerk
    Connecticut Supreme Court Sep 1997 - Aug 1998
    Clerk for the Honorable Frances M. McDonald.
  • Connecticut Appellate Court
    Law Clerk
    Connecticut Appellate Court Jun 1995 - Aug 1996
    Clerk for the Honorable Barry Schaller.

Keith Marks Skills

Hedge Funds Due Diligence Investments Investment Advisory Securities Regulation Asset Management Securities Mutual Funds Risk Management Finra Portfolio Management Broker Dealer Equities Alternative Investments Series 24 Registered Investment Advisor Series 65 Aml Asset Managment Sec Private Equity Investment Management Series 7 Financial Services Wealth Management Series 63 Fixed Income Capital Markets Etfs Uniform Combined State Law Fund Of Funds Asset Allocation Corporate Governance Private Placements Trading Financial Markets Strategic Financial Planning Usa Patriot Act Retirement Financial Advisory Bonds Ofac Investor Relations Investment Advisers Act Wealth Management Services Equity Trading Investment Strategies Retirement Planning Institutional Investments

Keith Marks Education Details

  • Western New England University School Of Law
    Western New England University School Of Law
    Jd
  • University Of Connecticut
    University Of Connecticut
    Political Science

Frequently Asked Questions about Keith Marks

What company does Keith Marks work for?

Keith Marks works for F.l.putnam Investment Management Company

What is Keith Marks's role at the current company?

Keith Marks's current role is Compliance Professional, Attorney.

What is Keith Marks's email address?

Keith Marks's email address is ke****@****ech.com

What is Keith Marks's direct phone number?

Keith Marks's direct phone number is +186043*****

What schools did Keith Marks attend?

Keith Marks attended Western New England University School Of Law, University Of Connecticut.

What skills is Keith Marks known for?

Keith Marks has skills like Hedge Funds, Due Diligence, Investments, Investment Advisory, Securities Regulation, Asset Management, Securities, Mutual Funds, Risk Management, Finra, Portfolio Management, Broker Dealer.

Who are Keith Marks's colleagues?

Keith Marks's colleagues are James Waggett, Cfa, Cfp®, Caia, Corey Pomerleau, Cfp®, Jessie Butler, Cfp ®, Paige Southworth, Andrew Wetzel, Cfa, Robert Sherman, Cfp®, Cpa, Pfs, Mst, Michael Desclos, Cfp®.

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