Meet The Team

We’re Fun, Social & Business Savvy.

Michael Tuohy

Principal Examiner and Consultant
Exemplar Consulting, LLC

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WHAT I LOVE ABOUT EXEMPLAR

What I love about being at Exemplar is the shared values among our team, clients, and connectors.

AT EXEMPLAR Work Smart, Have Fun – See Us At Play

 

  • Provides regulatory guidance and resolves complex compliance issues for financial services companies 
  • Efficiently manages regulatory risk
  • Experienced as a commodities broker and mortgage broker
  • Performs compliance audits of fixed income trade reporting, fixed income mark-up/mark-down & commissions, large option position reporting, OATs reporting, trade-away process, free deliveries and receives, wire transfers and prime brokerage
  • Developing and implementing comprehensive regulatory required testing programs for large broker-dealers, insurance companies and investment advisors
  • Revised written supervisory procedures, developed and enhanced: internal controls, surveillance and branch inspection programs.
  • Creating new broker-dealers and helping clients with strategic initiatives. 

 

 

 

CREDENTIALS

   

Bachelor’s of Science- Business Management 

Fairleigh DickinsonUniversity

   
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