As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Darren Norwood is an Engagement Manager with over 20 years of experience in the financial services industry. Prior to joining CRC, Darren served as a Compliance Manager at one of the country’s largest independent investment advisers with responsibility for the annual 206(4)-7 review and branch inspection programs, registration and licensing functions, serving on multiple internal committees and as the Compliance department’s cross-functional liaison for regulatory matters. He also had oversight responsibility for the AML function and branch inspection program at the firm’s affiliated broker-dealer. Most recently, Darren spent three years at the North American Securities Administrators Association (NASAA) where he led an 18-month project to stand up a software utility used by state securities examiners to conduct examinations of investment advisers and broker-dealers. In his role, he also provided extensive training to securities examiners, revising and updating examination modules, and data analysis to identify areas where firms struggle with compliance to help drive state regulator examination priorities.
Darren earned a BS in Political Science from the University of Utah.