Director of Broker-Dealer Client Services
Steve is responsible for CRC’s Broker-Dealer Client Services. Steve has over 25 years of capital markets compliance experience and is an industry leader in Control Room, Investment Banking and Conflict of Interest issues.
Prior to joining CRC, Steve spent nine years at PwC as a Senior Director in the Capital Markets Risk & Regulatory practice focused on advising global financial institutions. Previously, Steve was Managing Director and Head of Fixed Income and Capital Markets Compliance at U.S. Bancorp Investments, Inc., where he established a de novo institutional Compliance risk program. Steve started his career at Wachovia, where he established and managed the Global Investment Banking Compliance and Control Group responsible for Corporate & Investment Banking regulatory, Information Barrier and conflicts of interest issues.
Steve has successfully advised and completed over 100 projects for clients, including: assessing and creating control room and conflict of interest programs; executing broker-dealer new business initiatives; assisting clients develop governance risk & compliance strategies; assessing and implementing corporate & investment banking supervisory and compliance programs; creating and executing global compliance risk assessments; assessing electronic trading rules for a client’s global expansion; assessing and creating global restricted list methodologies; and assessing and developing global pension plan compliance programs.
Steve has a BA in Business Administration with emphasis in Accounting from Lenoir-Rhyne University and previously held Series 7 – General Securities Sales Representative, Series 79 – Investment Banking, and Series 24 – General Securities Principal licenses.