Expertise
Compliance, Controls, Market Manipulation, Insider Trading, Customer Protection, Customer Complaints, Regulatory, Conflicts of Interest, Supervision, Chief Compliance Officer, Internal Controls, Surveillance, Control Room, broker-dealer, bank branch, FCM, hedge funds, FINRA, SEC, CFTC, NFA, Federal Reserve Board (FRB), Office of Controller of the Currency (OCC), Financial Crime, AML, OFAC, Sanctions, Sales, Trading, Research, and Marketing; Structured Products; Prime Brokerage; FX; Commodities; Fixed Income (Credit and Rates); Equities; Derivatives; Policies and Procedures; Proprietary Trading; Dodd-Frank; Volcker Rule; Swaps; OTC Options, Listed Options, Puts, Calls, Stock Options, Index Options, VIX, short-selling, suitability, front-running, hedging, disclosures
(For search purposes, not intended to be a comprehensive list)
Expertise
Compliance, Controls, Market Manipulation, Insider Trading, Customer Protection, Customer Complaints, Regulatory, Conflicts of Interest, Supervision, Chief Compliance Officer, Internal Controls, Surveillance, Control Room, broker-dealer, bank branch, FCM, hedge funds, FINRA, SEC, CFTC, NFA, Federal Reserve Board (FRB), Office of Controller of the Currency (OCC), Financial Crime, AML, OFAC, Sanctions, Sales, Trading, Research, and Marketing; Structured Products; Prime Brokerage; FX; Commodities; Fixed Income (Credit and Rates); Equities; Derivatives; Policies and Procedures; Proprietary Trading; Dodd-Frank; Volcker Rule; Swaps; OTC Options, Listed Options, Puts, Calls, Stock Options, Index Options, VIX, short-selling, suitability, front-running, hedging, disclosures
(For search purposes, not intended to be a comprehensive list)
Mike is a dynamic entrepreneur, seasoned risk manager, and multi-national Chief Compliance Officer with a business-focus. His global experience has been instrumental in transforming the compliance, risk, and control infrastructure of commercial and investment banks. Mike expanded his proficiency in navigating the complexities of financial markets, including building (and winding down) his own hedge fund.
Throughout his 30-year career in the financial industry, Mike has consistently delivered value and assumed leadership roles at prestigious institutions. His impactful journey includes Goldman Sachs, Lehman Brothers, and BNP Paribas based in New York, Paris, and London. Mike has served as an American Stock Exchange Regulator, as a contributor to Fordham Law's Compliance degree programs, and is an approved FINRA Arbitrator, highlighting his commitment to upholding industry standards and ethical practices.
Curriculum Vitae
SER Associate Member
