I have served as in-house counsel and/or Chief Compliance Officer (CCO) for several independent broker/dealers/registered investment advisers and SEC-registered transfer agents. Former regulator in the Los Angeles office of FINRA (f/k/a NASD) for five (5) years. Previously held: Series 7, 24, 79, 99, 63, and Life & Health licenses. -Member in good standing, California bar-2018 Fellow, USC Gould School of Law Mediation Clinic-FINRA District 2, Committee member (2010-2013)-FINRA Series 14, Committee member (2008-2010)-Finetooth Consulting, LLC-Advisory Board-USC Galen Center-Founders Club inaugural donorSpecialities: risk management, securities regulation, conflict resolution, cyber security compliance, operations (including investor relations), policies & procedures, training, audits, and mediation.
Compliance Concierge
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FounderCompliance Concierge Jun 2004 - PresentNewport Beach, CaOffers risk management, compliance, conflict resolution, and regulatory consulting services to broker/dealers, transfer agents and investment advisory firms. Provides significant industry experience relating to SEC, FINRA and state rules & regulations. Revises policies & procedures, conducts 206(4)-7 audits and assists with 3120/3130 reports. Works closely with compliance, legal, HR, operations, IT, other department heads and external auditors.
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Executive Vice-PresidentAmerican National Stock Transfer, Llc Feb 2013 - May 2016Irvine, CaliforniaOversaw transfer agent compliance for alternative investments, including risk management. Developed and implemented internal controls related to cyber-security, Gramm-Leach Bliley (non-public information), Anti-Money laundering (AML), Sarbanes-Oxley (SOX) and other regulatory hot buttons. Able to communicate effectively with regulators and confidently lead examinations. Supervised and coached staff in New York and California offices. -
Chief Compliance OfficerGrubb & Ellis Securities/Capital And Equity Advisors Jan 2008 - Jan 2012Served as Chief Compliance Officer (CCO) of the SEC-registered transfer agent and as the CCO of Retail for the sponsor's alternative product offerings. Provided regulatory guidance (including drafting policies and procedures) to internal/external customers. Performed risk assessments, including testing and monitoring. Served as AML officer. Provided regular trainings and supervised a staff of 21.
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Senior Vice President/Chief Compliance Officer/General CounselCuso Financial Services, L.P. Mar 2001 - Jun 2004Developed and implemented firm policies and procedures in accord with federal, state, and SRO rules and regulations. Prepared and delivered all compliance training, conducted audits, and administered regulatory and firm-required continued education. Managed the legal docket and was the lead on any regulatory inquiries, including routine or sweep examinations.
Maureen M. Education Details
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Alternative Dispute Resolution -
Securities Regulation And Compliance -
Business Administration
Frequently Asked Questions about Maureen M.
What company does Maureen M. work for?
Maureen M. works for Compliance Concierge
What is Maureen M.'s role at the current company?
Maureen M.'s current role is Founder/Compliance & Dispute Resolution Enthusiast.
What schools did Maureen M. attend?
Maureen M. attended University Of Southern California, The Wharton School, Usc Marshall School Of Business, Whittier Law School.
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Maureen M.
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