As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Evan Brown is a regulatory compliance and operational professional with 8 years of industry experience. In his previous role, Evan supported the compliance program at Susquehanna International Group. There he worked to enhance the financial regulatory compliance management program, including testing and monitoring, regulatory training, and policy and procedure management. He also drove timely execution of projects, analyzed significant data sets to reduce complexity and designed and implemented compliance policies and procedures. Prior to that, he worked at Morgan Stanley where he supported a top producing wealth management team in all aspects of the business.
FINRA/NASAA Series 7, 24, 57, and 66 registrations
Temple University, Bachelor of Science in Business Administration