A seasoned financial services professional with nearly three decades of experience covering multiple facets of the financial services industry. After launching a successful career in sales and wealth management, Mark pursued his interest in trading and market making, however, it was not until after nine eleven that Mark found his true calling in Compliance, and Supervision. By applying his background in sales and trading, Mark was able design business friendly policies and procedures while working within the confines of the regulatory requirements. Mark has been credited as the visionary for numerous compliance & supervisory systems for the Equitable, one of the largest insurance and financial service company. Mark has led large teams of compliance and controls professionals and mentored many who currently hold high positions within the industry.
Mark hold several FINRA registrations which include, Series 24, 53, 4, 7, 66 and 63.
Specific areas of expertise: regulatory compliance, risk management, compliance and supervisory system development and deployment, and audit. Mark has working experience with insurance providers, TAMPs, broker-dealers, IARs, RIAs as well as FinTech service providers.