Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Andrew Lucks

Regulatory Compliance Professional

Biography

Andrew is a Regulatory Compliance Professional at CRC. Andrew began his career in public accounting and moved into financial services compliance as an examiner in Member Supervision at FINRA. Andrew was responsible for conducting in-depth reviews of broker-dealers seeking new and continuing FINRA membership. Additionally, Andrew conducted examinations assessing top-tier broker-dealer risk management and compliance frameworks. Andrew also has interest in regulatory rule interpretation, emerging regulatory risks, and FinTech matters.

At CRC, Andrew supports broker-dealers on a variety of aspects of compliance including: supervisory controls testing (3110/3120 reviews), written policies and procedures, branch inspections, FINRA New Member Applications (NMAs) and Continuing Member Applications (CMAs), general compliance operations, and risk management reviews.

Andrew holds a Master of Public Affairs from the Marxe School of Public and International Affairs – Baruch College. Andrew also holds a Bachelor of Science in Accounting from Ithaca College.

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