Steve Pisano, Esq. Email & Phone Number

Morristown, Nj

I joined the Simon Quick Advisors team in August 2016 after spending the previous 10+ years in various regulatory compliance positions. When I learned about the role at Simon Quick, I was immediately interested in the company’s business model of providing investment advisory services to a wide range of clients. I recognized that the diverse client base of Simon Quick would make the role dynamic and different, and challenge my skills as a seasoned compliance and operations professional.As the firm's Chief Compliance Officer, I am responsible for ensuring that the firm stays within compliance with regulatory rules and requirements. The regulatory landscape is always changing and staying on top of new regulations can be challenging. I bring with me nearly two decades of focused compliance knowledge and regulatory expertise to the organization and strive every day to be a valued member of the team.

Greater New York City Area

In my role as Chief Compliance Officer-Investment Operations at Dynasty Financial Partners I was responsible for regulatory compliance around our investment platform. This included due diligence of our vendors and third party money managers, and compliance efforts around the middle and back office functions performed in house by our Operations team. I often filled the role as a trusted adviser to Dynasty’s network of independent Registered Investment Advisors, all of which were operating unique businesses of their own. While at Dynasty I also served as Chief Compliance Officer of the firm’s broker dealer.

Greater New York City Area

While at HSBC I was a part of the retail banking and wealth management Compliance team focusing on the Company’s investment advisory efforts through its retail banking channel. I was appointed ‘Regulation Coordinator’ for the Investment Advisors Act of 1940, leading Advisory Compliance efforts in the Private Banking, Wealth Management, and Institutional Business lines.

Greater New York City Area

During my seven years at New York Life, I was multiple roles within the firm’s Compliance department. I began my career as a branch office examiner, conducting mock regulatory exams of the firm’s sales and satellite offices nationwide. After a few years of traveling I transitioned into a role concentrated on Compliance testing and monitoring for the firm’s Registered Investment Advisor and Broker Dealer entities.

Doctor Of Law - Jd, Magna Cum Laude, Order Of The Coif

Activities and Societies: Student Advocate, District of New Jersey Settlement Conference Advocacy Program Student Advocate, FINRA Investor.

Master Of Business Administration - Mba, Financial Management

Thomas H. O'Reilly Endowed Scholarship

Bachelor Of Arts - Ba, History

Activities and Societies: Sigma Pi