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Skills

  • Analytics
  • Compliance Assessments
  • Consulting
  • Data Analysis
  • Director
  • Due Diligence
  • Financial Services
  • Operations Management
  • Process Design
  • Process Improvement
  • Regulatory Audits
  • Regulatory Operations
  • Risk Management

Services

  • Director

    $95/hr Starting at $250 Ongoing

    Dedicated Resource

    Self-directed and driven financial director with a comprehensive background leading compliance, risk management, operations, banking, analysis and cross-functional teams. Known as an innovative thinker...

    AnalyticsCompliance AssessmentsConsultingData AnalysisDirector

About

Self-directed and driven financial director with a comprehensive background leading compliance, risk management, operations, banking, analysis and cross-functional teams.

Michael has extensive experience providing regulatory guidance and resolving compliance issues for financial services companies and efficiently managing regulatory risk. Michael has over 20 years of experience in the financial services industry including serving as a Compliance Officer for large broker-dealers, banks, an examiner with FINRA, commodities broker and mortgage banker.
Michael has experience in the following areas:
Governance, Policies and Procedures
Project Management
Process improvement
Compliance Risk Assessments
Oversight, Metrics and Reporting
Data analytics
Supervision
New Regulations
Issues Management
Internal Controls
Regulatory Examinations
Training and Communication
Investigations
Regulatory Reporting
Due Diligence
Citations
Assisted large broker-dealer develop Compliance Department Operating Manual and Field Supervisory Manual for branch supervision.
Significantly revised written supervisory procedures and enhanced internal controls and surveillance to satisfy requirements imposed by a regulatory consent decree.
Evaluated the effectiveness of compliance programs and recommended enhancements to adhere to regulatory requirements and industry best practices.
Assisted large broker-dealer with centralization of beneficial ownership reporting program for over 80 countries.
Improved regulatory registration process for a large decentralized broker-dealer to address late flings.
Developed and implemented comprehensive regulatorily required testing programs for large broker-dealers, insurance companies and investment advisors
Performed independent anti-money laundering review of a high risk foreign national bank requested by bank regulators.
Prepared and submitted required documentation for new FINRA registered broker-dealers.
Advised a leading financial services firm of the regulatory risks associated with a business reorganization of its corporate and investment bank.

Work Terms

Negotiable depending on client needs.