Compliance Consulting
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Compliance Consulting Employees
Employee
Years
Job
Industry
W. Mark Fenny B.A., MTCI, FMA, FCSI W. Mark Fenny B.A., MTCI, FMA, FCSI's Compliance Consulting Experience June 2009 - September 2009
Job Chief Compliance Officer at Sincerus Exempt Market Dealer
Industry Financial Services
Experience
Sincerus Exempt Market Dealer December 2012 - Present
Investors Group Securities Inc. September 2010 - October 2012
CIBC Trust April 2010 - September 2010
CIBC Trust September 2009 - April 2010
Compliance Consulting June 2009 - September 2009
CIBC May 2008 - June 2009
Rice Financial Group Inc March 2006 - April 2008
Manulife Securities International Ltd. (MSIL) January 2004 - March 2006
Berkshire Securities/Investments Ltd January 1998 - August 2003
Skills
Compliance, Insurance, Securities, Investments, Banking, Mutual Funds, Strategic Planning, Financial Planning, Credit, Team Leadership, Problem Solving, Coaching, Customer Relations, Wealth Management, Executive Management, Team Building, Customer Service, Mentoring, Due Diligence, Process Improvement, Risk, Public Speaking, Retirement Planning, Sales Management, Business Strategy, AML, Change Management, Risk Management, Employee Benefits, Financial Services, Retirement, Estate Planning, Strategic Financial..., Investment Advisory, Portfolio Management, Asset Management, Alternative Investments, Mortgage Lending, Investment Strategies, Financial Planners, Equities, Wealth
Education
University of Manitoba 1974 — 1977
Masters in City Planning
University of Manitoba 1971 — 1974
BA, Economics/Political Studies
Sincerus Exempt Market Dealer December 2012 - Present
Investors Group Securities Inc. September 2010 - October 2012
CIBC Trust April 2010 - September 2010
CIBC Trust September 2009 - April 2010
Compliance Consulting June 2009 - September 2009
CIBC May 2008 - June 2009
Rice Financial Group Inc March 2006 - April 2008
Manulife Securities International Ltd. (MSIL) January 2004 - March 2006
Berkshire Securities/Investments Ltd January 1998 - August 2003
Skills
Compliance, Insurance, Securities, Investments, Banking, Mutual Funds, Strategic Planning, Financial Planning, Credit, Team Leadership, Problem Solving, Coaching, Customer Relations, Wealth Management, Executive Management, Team Building, Customer Service, Mentoring, Due Diligence, Process Improvement, Risk, Public Speaking, Retirement Planning, Sales Management, Business Strategy, AML, Change Management, Risk Management, Employee Benefits, Financial Services, Retirement, Estate Planning, Strategic Financial..., Investment Advisory, Portfolio Management, Asset Management, Alternative Investments, Mortgage Lending, Investment Strategies, Financial Planners, Equities, Wealth
Education
University of Manitoba 1974 — 1977
Masters in City Planning
University of Manitoba 1971 — 1974
BA, Economics/Political Studies
Hosea Allen Hosea Allen's Compliance Consulting Experience March 2012 - Present
Job Consultant Auditing in Financial Services, Compliance, Due Diligence, Risk Mitigation
Industry Financial Services
Experience
Compliance Consulting March 2012 - Present
Protective Life July 2004 - March 2012
Kelly Services February 2003 - March 2003
Children's Hospital October 1999 - February 2003
United States Air Force May 1995 - May 1998
Skills
Securities, Series 7, Mutual Funds, FINRA, Leadership, Investment Advisory, Management, Trading, Financial Services, Options, Uniform Combined State..., Access, Training, Human Resources, Auditing, Series 63
Education
University of Alabama at Birmingham 1995 — 2000
BA, History/Pyschology
Florida A & M University 1994 — 1995
Biology, Chemistry, Pre-med
Compliance Consulting March 2012 - Present
Protective Life July 2004 - March 2012
Kelly Services February 2003 - March 2003
Children's Hospital October 1999 - February 2003
United States Air Force May 1995 - May 1998
Skills
Securities, Series 7, Mutual Funds, FINRA, Leadership, Investment Advisory, Management, Trading, Financial Services, Options, Uniform Combined State..., Access, Training, Human Resources, Auditing, Series 63
Education
University of Alabama at Birmingham 1995 — 2000
BA, History/Pyschology
Florida A & M University 1994 — 1995
Biology, Chemistry, Pre-med
Brian C. Sullivan, MBA, CRCP Brian C. Sullivan, MBA, CRCP's Compliance Consulting Experience May 2008 - November 2011
Job AVP, Risk Manager at Morgan Stanley
Industry Financial Services
Experience
Morgan Stanley Wealth Management January 2015 - Present
Morgan Stanley Wealth Management August 2013 - December 2014
MetLife December 2011 - December 2012
Compliance Consulting May 2008 - November 2011
Hellman Electric Corp. January 2009 - June 2011
LaBranche & Co. 2005 - 2008
LaBranche and Co. LLC 2001 - 2005
LaBranche and Co. LLC 1999 - 2001
New York Stock Exchange - Member Firm Regulation 1998 - 1999
Union Bank of Switzerland - Internal Audit 1997 - 1998
Skills
Series 63, Securities, Series 24, AML, Risk Management, FINRA, Series 7, Equities, Equity Trading, Compliance, Investments, Hedge Funds, Options, Derivatives, Trading, Financial Services, Electronic Trading, Financial Risk, Capital Markets, Asset Management, Trading Systems, Financial Regulation, Mutual Funds, Financial Markets, Securities Regulation, OFAC, Investment Banking, Alternative Investments, Investment Advisory, Fixed Income, Retirement Planning, ETFs, Insurance, Wealth Management, Asset Allocation, Bloomberg, Financial Advisory, Uniform Combined State..., 401k, Investment Management, Commodity, Investment Strategies, Bonds, Portfolio Management, Private Equity, Stocks, Cash Management, Investor Relations, Operational Risk, Retirement
Education
Manhattan College 1994 — 1999
MBA, Strategic Management
Manhattan College 1989 — 1993
Bachelor of Science, Finance
University of Pennsylvania - The Wharton School 2004 — 2006
CRCP, Regulatory Compliance & Securites Law
Morgan Stanley Wealth Management January 2015 - Present
Morgan Stanley Wealth Management August 2013 - December 2014
MetLife December 2011 - December 2012
Compliance Consulting May 2008 - November 2011
Hellman Electric Corp. January 2009 - June 2011
LaBranche & Co. 2005 - 2008
LaBranche and Co. LLC 2001 - 2005
LaBranche and Co. LLC 1999 - 2001
New York Stock Exchange - Member Firm Regulation 1998 - 1999
Union Bank of Switzerland - Internal Audit 1997 - 1998
Skills
Series 63, Securities, Series 24, AML, Risk Management, FINRA, Series 7, Equities, Equity Trading, Compliance, Investments, Hedge Funds, Options, Derivatives, Trading, Financial Services, Electronic Trading, Financial Risk, Capital Markets, Asset Management, Trading Systems, Financial Regulation, Mutual Funds, Financial Markets, Securities Regulation, OFAC, Investment Banking, Alternative Investments, Investment Advisory, Fixed Income, Retirement Planning, ETFs, Insurance, Wealth Management, Asset Allocation, Bloomberg, Financial Advisory, Uniform Combined State..., 401k, Investment Management, Commodity, Investment Strategies, Bonds, Portfolio Management, Private Equity, Stocks, Cash Management, Investor Relations, Operational Risk, Retirement
Education
Manhattan College 1994 — 1999
MBA, Strategic Management
Manhattan College 1989 — 1993
Bachelor of Science, Finance
University of Pennsylvania - The Wharton School 2004 — 2006
CRCP, Regulatory Compliance & Securites Law
Philip Bullard Philip Bullard's Compliance Consulting Experience September 2008 - Present
Job Senior Financial Analyst at Compliance Consulting
Industry Computer Software
Experience
Compliance Consulting September 2008 - Present
Boy Scouts of America 2005 - 2012
Thomson Reuters December 1997 - April 2008
Safeguard Business Systems July 1996 - December 1997
Skills
Sarbanes-Oxley, Revenue Recognition, Expense Management, Accounting, Forecasting, Financial Analysis, Budgets, Analysis, Cross-functional Team..., Financial Reporting, Finance, Auditing, Consolidation, Financial Statements, PeopleSoft, Acquisition Integration
Education
Southwestern University
BBA, Accounting
University of Texas at Dallas - Naveen Jindal School of Management
MS - Master of Science in Management and Administrative Sciences, Corporate Finance
Compliance Consulting September 2008 - Present
Boy Scouts of America 2005 - 2012
Thomson Reuters December 1997 - April 2008
Safeguard Business Systems July 1996 - December 1997
Skills
Sarbanes-Oxley, Revenue Recognition, Expense Management, Accounting, Forecasting, Financial Analysis, Budgets, Analysis, Cross-functional Team..., Financial Reporting, Finance, Auditing, Consolidation, Financial Statements, PeopleSoft, Acquisition Integration
Education
Southwestern University
BBA, Accounting
University of Texas at Dallas - Naveen Jindal School of Management
MS - Master of Science in Management and Administrative Sciences, Corporate Finance
Gail Robyn Hodes Gail Robyn Hodes's Compliance Consulting Experience October 2008 - August 2014
Job Senior Compliance Analyst at City National Rochdale
Industry Financial Services
Experience
City National Rochdale September 2014 - Present
Compliance Consulting October 2008 - August 2014
Paloma Partners January 2007 - September 2008
Jefferson Wells October 2005 - July 2007
DKR Capital July 2004 - September 2005
Deutsche Bank January 2003 - January 2004
GE November 1995 - September 2001
Skills
Compliance Testing, AML, Securities, OFAC, Hedge Funds, KYC, FINRA, Risk Management, USA PATRIOT Act, Equities, Fixed Income, Asset Managment, Mutual Funds, Financial Risk, Due Diligence, SEC, Operational Risk, Investments, Series 7, Derivatives, Bank Secrecy Act, Portfolio Management, Trading, Options, Bloomberg, Investment Advisory, Investment Management, Banking, Asset Management, Anti Money Laundering, Capital Markets, Financial Services, Bonds
Education
University of Bridgeport 1997 — 1998
MBA, Business Administration
University of Connecticut 1985 — 1990
BS, Business
City National Rochdale September 2014 - Present
Compliance Consulting October 2008 - August 2014
Paloma Partners January 2007 - September 2008
Jefferson Wells October 2005 - July 2007
DKR Capital July 2004 - September 2005
Deutsche Bank January 2003 - January 2004
GE November 1995 - September 2001
Skills
Compliance Testing, AML, Securities, OFAC, Hedge Funds, KYC, FINRA, Risk Management, USA PATRIOT Act, Equities, Fixed Income, Asset Managment, Mutual Funds, Financial Risk, Due Diligence, SEC, Operational Risk, Investments, Series 7, Derivatives, Bank Secrecy Act, Portfolio Management, Trading, Options, Bloomberg, Investment Advisory, Investment Management, Banking, Asset Management, Anti Money Laundering, Capital Markets, Financial Services, Bonds
Education
University of Bridgeport 1997 — 1998
MBA, Business Administration
University of Connecticut 1985 — 1990
BS, Business
Yulia Kalk's Compliance Consulting Experience January 2011 - June 2013
Job Director, BrokerDealer Services at Gordian Compliance Solutions, LLC.
Industry Financial Services
Experience
Gordian Compliance Solutions, LLC July 2015 - Present
Gordian Compliance Solutions, LLC June 2013 - Present
Burrill Securities, LLC January 2014 - December 2014
Compliance Consulting January 2011 - June 2013
Yulia Kalk October 2010 - June 2013
1st Discount Brokerage, Inc., RIA & B/D September 2004 - May 2013
1st Discount Brokerage, Inc. August 2002 - May 2013
1st Discount Brokerage, Inc. August 2002 - May 2013
Bulk Recordings 2002 - 2013
1st Discount Brokerage, Inc August 2002 - September 2004
Skills
Broker-Dealer and..., Broker-Dealer, Trading, FINRA, Series 7, Securities, Compliance, Series 24, AML, Hedge Funds, Auditing, Equities, Alternative Investments, Asset Management, Capital Markets, Due Diligence, ETFs, Financial Markets, Financial Risk, Financial Services, Fixed Income, Insurance, Investment Advisory, Investment Banking, Investments, Mutual Funds, Options, SEC, Series 63, Wealth Management
Education
Mills College 1992 — 1995
B.A, Business Economics
Mills College 1992 — 1994
Bachelor of Arts (B.A.), Business Economics, minor in Mathematics
The NASD Institute for Professional Development
Gordian Compliance Solutions, LLC July 2015 - Present
Gordian Compliance Solutions, LLC June 2013 - Present
Burrill Securities, LLC January 2014 - December 2014
Compliance Consulting January 2011 - June 2013
Yulia Kalk October 2010 - June 2013
1st Discount Brokerage, Inc., RIA & B/D September 2004 - May 2013
1st Discount Brokerage, Inc. August 2002 - May 2013
1st Discount Brokerage, Inc. August 2002 - May 2013
Bulk Recordings 2002 - 2013
1st Discount Brokerage, Inc August 2002 - September 2004
Skills
Broker-Dealer and..., Broker-Dealer, Trading, FINRA, Series 7, Securities, Compliance, Series 24, AML, Hedge Funds, Auditing, Equities, Alternative Investments, Asset Management, Capital Markets, Due Diligence, ETFs, Financial Markets, Financial Risk, Financial Services, Fixed Income, Insurance, Investment Advisory, Investment Banking, Investments, Mutual Funds, Options, SEC, Series 63, Wealth Management
Education
Mills College 1992 — 1995
B.A, Business Economics
Mills College 1992 — 1994
Bachelor of Arts (B.A.), Business Economics, minor in Mathematics
The NASD Institute for Professional Development
Rich Schlauch's Compliance Consulting Experience November 2012 - Present
Job Principal, Compliance Communications Consulting
Industry Capital Markets
Experience
Compliance Consulting November 2012 - Present
Business Services Industry December 2007 - September 2012
Banta December 2005 - December 2006
Cardinal Health - Pyxis Products December 2004 - October 2005
ImageX.com September 2001 - June 2004
Standard Register September 1982 - August 2001
Skills
Supply Chain, Disaster Recovery, Capital Markets, Business Continuity, Online Publishing, REIT, New Business Development, Strategic Planning, Account Management, Sales Management, Salesforce.com, Business Development, Direct Marketing, Direct Sales, Solution Selling, Business Strategy, Negotiation, Sales, Marketing Strategy, B2B, Start-ups, Sales Process, Project Management, Real Estate, Process Improvement, Marketing, Strategic Partnerships, Strategy, Lead Generation, Selling, CRM, Competitive Analysis, Email Marketing, Entrepreneurship, SaaS, Product Marketing, Executive Management, P&L Management, Sales Operations, Product Management, Business Planning, Contract Negotiation, Online Marketing, Leadership, E-commerce, Market Research
Education
Lehigh University - College of Business and Economics 1978 — 1982
Bachelors, Marketing
Parkland 1975 — 1978
Graduate, College/University Preparatory and Advanced High School/Secondary Diploma Program
Compliance Consulting November 2012 - Present
Business Services Industry December 2007 - September 2012
Banta December 2005 - December 2006
Cardinal Health - Pyxis Products December 2004 - October 2005
ImageX.com September 2001 - June 2004
Standard Register September 1982 - August 2001
Skills
Supply Chain, Disaster Recovery, Capital Markets, Business Continuity, Online Publishing, REIT, New Business Development, Strategic Planning, Account Management, Sales Management, Salesforce.com, Business Development, Direct Marketing, Direct Sales, Solution Selling, Business Strategy, Negotiation, Sales, Marketing Strategy, B2B, Start-ups, Sales Process, Project Management, Real Estate, Process Improvement, Marketing, Strategic Partnerships, Strategy, Lead Generation, Selling, CRM, Competitive Analysis, Email Marketing, Entrepreneurship, SaaS, Product Marketing, Executive Management, P&L Management, Sales Operations, Product Management, Business Planning, Contract Negotiation, Online Marketing, Leadership, E-commerce, Market Research
Education
Lehigh University - College of Business and Economics 1978 — 1982
Bachelors, Marketing
Parkland 1975 — 1978
Graduate, College/University Preparatory and Advanced High School/Secondary Diploma Program
Meg Sczyrba's Compliance Consulting Experience 1996 - 1997
Job Compliance Professional
Industry Financial Services
Experience
Wells Fargo August 2013 - Present
Infosys December 2011 - August 2013
PayPal October 2007 - November 2011
ABA 1999 - 2010
ABA 1999 - 2009
Washington Mutual 2003 - 2007
Union Bank of California 1997 - 2003
Compliance Consulting 1996 - 1997
US Bank 1992 - 1996
Skills
AML, Compliance, Credit, Risk, Banking
Education
University of Missouri-Columbia School of Law 1987 — 1989
JD, Law
University of Missouri-Columbia 1983 — 1987
BA, Psychology
Wells Fargo August 2013 - Present
Infosys December 2011 - August 2013
PayPal October 2007 - November 2011
ABA 1999 - 2010
ABA 1999 - 2009
Washington Mutual 2003 - 2007
Union Bank of California 1997 - 2003
Compliance Consulting 1996 - 1997
US Bank 1992 - 1996
Skills
AML, Compliance, Credit, Risk, Banking
Education
University of Missouri-Columbia School of Law 1987 — 1989
JD, Law
University of Missouri-Columbia 1983 — 1987
BA, Psychology
Robert Larson's Compliance Consulting Experience 2000 - 2013
Job Customer Service Representative (Chicago Lighthouse) at Illinois State Toll Highway Authority
Industry Financial Services
Experience
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Illinois State Toll Highway Authority October 2014 - Present
FINRA Dispute Resolution November 1990 - Present
BMO Harris Financial Advisors, Inc. November 2012 - February 2013
Compliance Consulting 2000 - 2013
Ocean View Capital LLC December 2010 - October 2011
GLB TRADING, INC. January 2009 - May 2009
ITG Dirivatives LLC October 2007 - October 2008
FIRST ANALYSIS INVESTMENT CORP. May 2003 - January 2005
FINRA April 1982 - August 1986
US Navy November 1979 - February 1980
Skills
Compliance, Trading, Series 7, FINRA, Investments, Investment Banking, Securities, Asset Management, Insurance, Series 24, Series 63, AML, Mutual Funds, Equities, Options, Alternative Investments, Risk Management, Fixed Income, Licensing, SEC reporting, Capital Markets, Due Diligence, Risk, Portfolio Management, Derivatives, Banking, Institutional, Financial Planning, Investment Advisory, Auditing, Policy, Financial Analysis, Bonds, Prime Brokerage, Series 65, Executive Management, Customer Relations, Research, Hedge Funds, Wealth Management, ETFs, Series 3, Financial Markets, Credit, Series 66, Equity Trading, Brokerage, Commodities, KYC, Corporate Finance
Education
John Marshall Law School 1994 — 1994
I did not graduate, Law, 2.0
DePaul University - Charles H. Kellstadt Graduate School of Business 1978 — 1980
MBA, FINANCE
Rockhurst University 1975 — 1978
BSBA, Finance and Economics, 3.3
Tracy Whille's Compliance Consulting Experience May 2012 - March 2013
Job Principal at KPMG US
Industry Financial Services
Experience
KPMG US March 2013 - Present
Compliance Consulting May 2012 - March 2013
MF Global August 2008 - May 2012
Bear Stearns April 2005 - July 2008
Lehman Brothers August 2001 - March 2005
Goldman Sachs January 1996 - July 2001
Goldman Sachs October 1987 - December 1995
Education
Seton Hall University 1982 — 1984
Masters of Business Administration, Finance
Seton Hall University 1978 — 1982
Bachelor of Science, Accounting
KPMG US March 2013 - Present
Compliance Consulting May 2012 - March 2013
MF Global August 2008 - May 2012
Bear Stearns April 2005 - July 2008
Lehman Brothers August 2001 - March 2005
Goldman Sachs January 1996 - July 2001
Goldman Sachs October 1987 - December 1995
Education
Seton Hall University 1982 — 1984
Masters of Business Administration, Finance
Seton Hall University 1978 — 1982
Bachelor of Science, Accounting
Domenick Di Mango's Compliance Consulting Experience March 2013 - February 2014
Job Principal Regulatory Coordinator at Financial Industry Regulatory Authority (FINRA)
Industry Financial Services
Experience
Financial Industry Regulatory Authority March 2014 - Present
Compliance Consulting March 2013 - February 2014
Rochdale Securities 2003 - 2013
Hagströmer & Qviberg, Inc. January 1999 - July 2002
NEW JAPAN SECURITIES INTERNATIONAL INC. April 1987 - January 1999
Skills
Compliance, AML/OFAC, Director of Operations, FINOP (Financial and..., Regulatory Reporting, All Relevant FINRA..., Operational Risk, Project Management, Dodd-Frank, Accounting, Policy, FINRA, Financial Services, Equities, AML, Anti Money Laundering, Investments, Securities, Finance, Series 7, Fixed Income, Trading
Education
John Jay College of Criminal Justice 1973 — 1978
Bachelor's degree, Psychology
Financial Industry Regulatory Authority March 2014 - Present
Compliance Consulting March 2013 - February 2014
Rochdale Securities 2003 - 2013
Hagströmer & Qviberg, Inc. January 1999 - July 2002
NEW JAPAN SECURITIES INTERNATIONAL INC. April 1987 - January 1999
Skills
Compliance, AML/OFAC, Director of Operations, FINOP (Financial and..., Regulatory Reporting, All Relevant FINRA..., Operational Risk, Project Management, Dodd-Frank, Accounting, Policy, FINRA, Financial Services, Equities, AML, Anti Money Laundering, Investments, Securities, Finance, Series 7, Fixed Income, Trading
Education
John Jay College of Criminal Justice 1973 — 1978
Bachelor's degree, Psychology
Pam Dowell's Compliance Consulting Experience January 2000 - October 2011
Job Manager at Huntsville Women's Center
Industry Medical Practice
Experience
Huntsville Women's Center October 2012 - Present
Memorial Hermann the Woodlands April 2008 - October 2012
Compliance Consulting January 2000 - October 2011
Education
University of Texas Allied Health Science 1973 — 1975
Stephen F. Austin State University 1972 — 1973
Huntsville Women's Center October 2012 - Present
Memorial Hermann the Woodlands April 2008 - October 2012
Compliance Consulting January 2000 - October 2011
Education
University of Texas Allied Health Science 1973 — 1975
Stephen F. Austin State University 1972 — 1973