Highlighted Compliancequest Consultants
Prior companies, descriptive titles, and specialties
Antone Balbo
Prudential Financial: Systems analysis, creation and modification in the areas of suitability, SEC books & records, trend analysis, replacement detection, AML, OFAC detection, FINRA filings, including regulatory inquiries, Rule 3070 complaint filings, U5 DRP filings. Corporate & Tax compliance systems management. Internal/external operations audits. Risk management strategist.
Tom Bartlett, CLU, FLMI
Prudential Financial, Corporate Compliance Director Compliance Monitoring and Red Flag Reporting, 3012 Assessments, Compliance Audits, Risk Assessment, IMSA Assessments
William Cohen
Prudential Financial & Guardian Life: Supervisor of Field Examiners, Suitability Reviews, Branch Audits, Complaint Review and Resolution, Advertising & Sales Literature Review & Filing, Author & Teacher of Annual Compliance Meetings & Firm Element Training. Compliance Manuals and Operations Written Supervisory Procedures.
Walter Costenbader, CFP
Webster Bank Securities Chief Compliance Officer B/D Creation, Bank Insurance Sales Compliance, AML Officer, Compliance Operations
Francis J. Daly
Northrop Grumman Chief Operating Ethics Officer (ret.) Former President, Ethics Officers Association
Robert Davis, CPA
American Financial Corp. Regional Compliance Director Internal Control and Sarbanes-Oxley compliance, Brokerage Compliance, Replacement Compliance and Best Practices
Timothy Dunfey
Great Florida Bank: BSA Compliance, All Phases of KYC and AML, including process design, Written Supervisory Procedures and testing. Branch inspections.
Bob Erdman
Prudential Financial Compliance Training Director Compliance Training, Continuing Education and Annual Meetings, Compliance Presentation Development
Bob Kramer, ChFC, CFS
MONY Chief Compliance Officer, VP Operations Compensation, Bank Insurance Sales Compliance, Chief Compliance Officer Role
Catherine Ladnier, CRCP
Main Street Management Co., Liberty Securities Rep Certification, Compliance Audits, Branch Exams, Suitability and Account Documentation Review, Training
Max J. Mahoney, Attorney at Law,
Securities and Regulatory Attorney, former NASD and Boston Stock Exchange Enforcement Attorney, former Chief Compliance Officer of international investment management firm, former Anti-Money Laundering Compliance Officer of large mutual fund complex. Mr. Mahoney brings his unique and practical legal, regulatory and compliance perspective to consulting engagements.
Pamela Metrione, ChFC
Prudential Financial Records Management Officer; FinOp Compliance Department Design and Management, Internal Control, Records Management, NASD BD Reporting, Internal Audit
Robert D. Murphy, CFA
Charles River Development, Manager, Implementation Services State Street Global Markets, Vice President and Manager of Global Trading Applications Boston Stock Exchange, Inc. Manager of Trading Services; Market Surveillance Analyst
Frank Nesvet
Mass. Health & Education Tax Exempt Trust, Street Tracks Trust, New England Funds,. Fidelity Investments, Price Waterhouse: Control systems for compliance, risk assessment and management and adherence to regulatory requirements. Internal audit, financial reporting, custodian, pricing and bookkeeping, transfer agent, tax, insurance and expense control of Funds and Fund Companies. New and existing product line due diligence.
August Picinich
Allstate Financial Services Regulatory Compliance Officer Field and OSJ Exams, AML Officer, Suitability, Marketing Materials
Ginger Simmons
Prudential Financial VP, Operations and Controls Compliance Operations, Branch Exams, Marketing Relations, Underwriting and Client Acquisition
Patrick Tierney
Lehman Brothers, Wertheim Schroeder, Lewco: Trading floor and desk, all phases of order execution, operations, compliance, budgeting and clearance. Extensive knowledge of options & derivatives hedging strategies. Trade analysis and suitability review.