Senior Regulatory Compliance Professional
As a Senior Regulatory Compliance Professional, Jeff brings to CRC more than 25 years of deep and varied expertise in Compliance, Risk and Operations programs. With expert knowledge of the practical application of financial services regulatory implementation and best practices, Jeff formulates and executes a strategic vision toward effectively demonstrating proper controls s while helping to support commercial interests and protect the enterprise from legal and regulatory risk. Jeff has broad industry experience in Operations, Risk, Compliance, Exams/Audit, and Governance from his time as a former CCO of large and small BDs and RIAs, including participation in the forensic compliance analysis of two high profile RIAs under SEC receivership.
- FINRA/NAASA Series 4, 7, 8, 24, 53, 57, 63, 79, SIE
- SEC/NAASA Series 65
- Greater Portland Compliance Association, Chairman
- SUNY Empire State College, Bachelor of Finance
- FINRA / Wharton, Certified Regulatory and Compliance Professional (CRCP)