Stephen Squire Email & Phone Number

New York, New York, United States

Helmed legal and compliance oversight for a financial services firm encompassing an institutional and retail broker-dealer in high-frequency trading, affiliated registered investment advisers, fintech providers, and a money services business, extending to domestic and foreign entities. Drove management strategies, leading a team of of compliance.

San Francisco, CA

Established and enforced legal, compliance, and operational frameworks for fintech firms, broker-dealers, and registered investment advisors, aligning with all regulations and industry standards; integrated technology to elevate legal and compliance programs. Delivered regulatory, compliance and legal support, including periodic testing, annual reviews.

San Francisco, CA

Pioneered creation and maintenance of a registered broker-dealer, tailor-made for hedge fund companies, offering blend of direct support and technology solutions for virtual compliance, supervisory products, and AML processes. Delivered legal and compliance services to registered investment advisers, encompassing traditional and hedge fund strategies.

San Francisco, CA

Directed legal, regulatory, contractual, and litigation matters for registered broker-dealers, fund administrators, and a technology affiliate; offered legal support to investment advisors and private fund clients. Created critical agreements and disclosures, headed policy development for compliance and risk management, and led the creation and maintenance.

Burbank, CA

Led strategic, operational, and administrative management for a fintech broker-dealer in the electronic trading space, coordinating legal coverage and overseeing compliance program creation. Advocated for firm's interests in regulatory discussions, aligning with evolving legal and compliance landscapes, and collaborated with engineering and product teams.

King Of Prussia, PA

• Provided legal and compliance support to senior management, advising on regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the rules.
• Created and reviewed firm procedures and practices for identification of compliance and risk management issues, including issues relating to new business, trading desk compliance, privacy, and administration… Show more
• Created and reviewed firm procedures and practices for identification of compliance and risk management issues, including issues relating to new business, trading desk compliance, privacy, and administration.
• Conducted daily surveillance reviews of market making, retail and institutional sales, advisory business, as well as the oversight of regulatory inquiries and internal investigations.
• Developed and maintained written supervisory procedures as well as supervisory tools, and was responsible for daily surveillance of sales activity, day-to-day compliance support, and identifying potential risk exposure.

San Francisco, CA

• Provided legal and compliance support to various business units within the firm.
• Interpreted relevant regulatory requirements under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, rules of the NYSE, and FINRA, as well as other principal exchanges.
• Managed a staff of compliance professionals responsible for the surveillance of the firm’s business units, identifying compliance risks, monitoring regulatory developments, and… Show more
• Managed a staff of compliance professionals responsible for the surveillance of the firm’s business units, identifying compliance risks, monitoring regulatory developments, and implementing policies and procedures in.
• Managed relationships with regulators, as well as regulatory examinations, and regulatory inquiries, when necessary.
• Developed and negotiated clearing agreements and client brokerage and soft dollar documentation as well as contracts with other brokers and service providers.

San Francisco, CA

• Conducted routine, enforcement and financial examinations of registered broker-dealers.
• Addressed new member applications, staff and member training and related matters.
• Led examinations of major U.S. broker-dealers, including Charles Schwab, E*Trade and other firms located on the West Coast.