- Ensure the firm’s compliance with all FINRA, MSRB, SEC and NYSE rules and regulations by providing necessary advice, training and risk assessment pertaining to the firm’s broker/dealer activities.
- Responsible for implementing all required policies and procedures regarding all business activities.
- Provide guidance and support to our business partners, senior management, and our Board of Directors.
- Consultant with extensive experience working with major broker dealers and banks on OCC consent orders. Areas of expertise include alerted account activity analysis and investigation, risk analysis, FINRA audits, policy and procedure development, money laundering investigation and prevention, guidance about transactional activity with Latin America etc.
- Bachelors Degree in Finance
- FINRA Licenses: 7, 63, 24, 53, 55 and 65
With a unique skill set of work experience in the Broker Dealer, Registered Investment Advisory, and retail Banking space, Rick is focusing his leadership on building a culture where ethics and compliance are treated as part of everyone’s job.
Father of two soon-to-be college graduates, basketball player, avid learner, and life long lover of the theater and the silver screen.
It’s very exciting to be part of a group of like minded individuals, who ask themselves every day; How can Exemplar make a difference in a particular market, adhere to the Quad mission of the firm, and enrich the client experience.