Regulatory Compliance Professional
Gene has over twelve years of experience in the financial sector, working as a producing broker and/or adviser in small independent, mid-tier, and large brokerage houses to more recently serving as CCO for more than six years. Gene brings a unique perspective to the operational and compliance side seeing that he began his Wall Street career as a producer before moving into principal and management roles. In total, he has accumulated more time navigating the regulatory environment of the securities landscape in leadership roles than as producing representative. He has substantial experience communicating with industry peers, contra brokers, clearing firms, vendors, and regulators during both routine and surprise audits. He has been a point person for individual representative, branch, and firm wide transitions and/or onboarding as well as for firm self-examinations in accordance with regulatory requirements.