As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Stuart brings over 30 years of experience in the financial services industry serving in financial and operational roles for multiple broker-dealers and regulatory agencies. Most recently, he served as Chief Financial Officer of TMC Bonds LLC where he was responsible for financial and regulatory reporting, accounting, human resources, credit, billing and treasury and served as Principal Operating Officer at its affiliate, ICE Securities Execution & Clearing, LLC where he oversaw its clearing and operations functions. Prior to TMC and ICE, Mr. Henderson worked at Knight Libertas as the Chief Operating Officer. He was also an examiner at both the NYSE and FINRA.