Mitchell Atkins

Mitchell Atkins Email and Phone Number

Principal at FirstMark Regulatory Solutions @ FirstMark Regulatory Solutions
boca raton, florida, united states
Mitchell Atkins's Location
Miami-Fort Lauderdale Area, United States
Mitchell Atkins's Contact Details

Mitchell Atkins work email

Mitchell Atkins personal email

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About Mitchell Atkins

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.

Mitchell Atkins's Current Company Details
FirstMark Regulatory Solutions

Firstmark Regulatory Solutions

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Principal at FirstMark Regulatory Solutions
boca raton, florida, united states
Employees:
2
Mitchell Atkins Work Experience Details
  • Firstmark Regulatory Solutions
    Founder & Principal
    Firstmark Regulatory Solutions Dec 2013 - Present
    Boca Raton, Florida, United States
    Founder and Principal - FirstMark Regulatory Solutions. Providing expert guidance and insights to those in the financial services industry – one of the most heavily regulated in the world. The breadth and scope of the ever-changing and sometimes overlapping regulatory requirements often prompts organizations in this industry to seek expert assistance. Navigating these complexities is our business and our passion. FirstMark provides a wide range of services, including FINRA new member applications, CMAs, Anti-Money Laundering Independent Testing, Supervisory Controls Testing and more.
  • Financial Industry Regulatory Authority
    Senior Vice President And Regional Director
    Financial Industry Regulatory Authority 1993 - 2013
    Boca Raton, Florida

Mitchell Atkins Skills

Finra Securities Mutual Funds Series 7 Financial Services Securities Regulation Investments Equities Leadership Series 24 Financial Risk Finance Investment Management Capital Markets Risk Management Anti Money Laundering Compliance Alternative Investments Talent Management Asset Management Fixed Income Hedge Funds Thought Leadership Broker Dealer Compliance Broker Dealer Operations Wealth Management Financial Analysis Public Speaking Variable Annuities Municipal Bonds Staff Development Private Placements Operational Risk Sec Filings Strategic Planning Staff Retention

Frequently Asked Questions about Mitchell Atkins

What company does Mitchell Atkins work for?

Mitchell Atkins works for Firstmark Regulatory Solutions

What is Mitchell Atkins's role at the current company?

Mitchell Atkins's current role is Principal at FirstMark Regulatory Solutions.

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