Monthly Regulatory Summary As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is […]
David is responsible for CRC’s business development, client relationship management and for supervising the execution of strategic engagements.
David joined CRC in September 2016 from CRT Capital Group LLC, where he served for more than 15 years as Managing Director and Chief Compliance Officer. CRT operated as an institutional brokerage, market-maker and investment bank that specialized in high yield and convertible corporate debt, equities, special situations, capital structure arbitrage, securitized products, U.S. Government securities, debt and equity financings and securities research. As CCO, David managed comprehensive global regulatory compliance programs for CRT’s U.S. broker-dealer unit and its FCA-registered UK affiliate, CRT Capital (UK) Ltd. and served as a member of CRT’s Enterprise Risk Committee, Policy Committee, New Product Committee and Capital Commitment Committee. David also served as Managing Director and Chief Compliance Officer of Harbor Drive Asset Management LLC, CRT’s SEC-registered alternative asset advisory affiliate. HDAM managed Harbor Drive Fund, a special situations-centric hedge fund, Pine Street Institutional Partners LP, a fund of hedge funds, and a variance swap strategy designed for separately managed accounts.
David’s Wall Street career began at Salomon Brothers, Inc., the free-wheeling broker-dealer of Liar’s Poker fame. As the Syndicate Desk Coordinator for Salomon’s Private Investment Department, David first learned the business from the sales and trading perspective and was immersed in the results-oriented culture of a high-energy trading floor. David then headed to FINRA where, as a Field Examiner, he led comprehensive on-site reviews of the books, records and operations of bulge bracket dealers. After FINRA, David joined UBS Investment Bank, LLC as an Associate Director in its Fixed Income Capital Markets Compliance division with primary responsibility for supporting the firm’s Primary Dealership, Rates and Repo Desks.
David earned his BA in Economics from Binghamton University and his MBA in Finance from Fordham University’s Gabelli School of Business.