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 companiesÂ
- 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.Â
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CREDENTIALS
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Bachelor’s of Science- Business Management Fairleigh DickinsonUniversity |
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