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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Sam Fleischman

Senior Regulatory Compliance Professional

Sam Fleischman is a Senior Regulatory Compliance Professional at CRC with extensive experience in the broker-dealer industry focusing on Control Room, Investment Banking, Capital Markets, Research and Information Barriers practices.  Sam started his career as a Compliance Surveillance analyst at Shearson Lehman Brothers and has worked in Compliance functions at other noteworthy firms; Drexel Burnham, Bankers Trust, NatWest Securities, Citibank where he was the Compliance officer for Loan Origination and the secondary Loan trading desk, Donaldson, Lufkin & Jenrette (DLJ), Credit Suisse and most extensively at UBS where for the majority of his time, he was the Head of the Control Room, Head of Compliance advisory for the Investment Banking Department and global administrator for the internal Compliance Control Room systems; working in both the UBS Los Angeles & New York offices.

Sam received his B.S. in Marketing/Advertising at Indiana University and maintains the FINRA Series 4, 7, 8, 9, 10, 14, 24, 63 & 79 licenses with more than 30 years of experience in the financial industry.

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