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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Kuni Chen

Supervisory Analyst

Kuni Chen is a senior compliance professional who heads CRC’s Supervisory Analyst practice. He works with sell side firms ranging in size from 1-2 to 20+ analysts. Kuni joined CRC in 2020 after working as an independent supervisory analyst and research principal.

Kuni has 30 years of experience in finance and worked as an equity research analyst for 15 years at Citigroup, BofA Merrill Lynch, UBS, and other firms. He also has buy side experience as a portfolio manager. Kuni maintains FINRA Series 7, 16, 24, 63, and 87 licenses and is also a Chartered Financial Analyst. He is a graduate of Middlebury College and lives in New York City.

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