Mitchell Atkins is a consultant to FINRA-registered broker dealers, financial services firms, and investment advisers. He is a dynamic leader with expertise in administration of complex regulatory and compliance programs. He advises on anti-money laundering compliance, supervisory controls, FINRA membership applications, Regulation Best Interest, and a wide variety of FINRA and SEC compliance matters.Prior to founding FirstMark, Mr. Atkins, for 20 years, served in various roles at FINRA (previously NASD) during which time he was a key participant in many transformative FINRA corporate and industry initiatives. He is an expert in FINRA broker-dealer compliance, and while at FINRA, was designated as a national expert in mutual funds and variable annuities. Having overseen FINRA surveillance and inspection programs, he is an expert in risk assessment and FINRA and SEC regulatory compliance.In addition to being a member of FINRA's senior management team, Mr. Atkins was Senior Vice President and Regional Director with overall responsibility for the four districts that comprised FINRA's South Region (home to 850 brokerage firms). He oversaw the region's examination programs, including sales practice special investigations, financial surveillance, and membership application programs. Mr. Atkins oversaw the development of innovative initiatives such as the National Anti-Money Laundering Investigative Unit. He had a significant role in FINRA's Risk Platform Redesign which transformed the FINRA exam program. Mr. Atkins oversaw the successful startup of FINRA’s Florida District Office. Mr. Atkins frequently addresses financial services industry groups. Mr. Atkins was the inaugural executive sponsor of one of FINRA’s Employee Resource Groups. He is also a Newfield Certified Coach, working with executives and providing leadership coaching.
Listed skills include Finra, Securities, Mutual Funds, Series 7, and 32 others.
