As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
Tim Costello is a regulatory compliance and operations professional with 8 years of experience in the financial service industry. Prior to CRC, Tim worked at Excel Securities & Associates Inc., a full-service independent broker dealer and RIA. Tim spent the last four years at Excel as the Director of Operations, where he worked alongside the COO to monitor and maintain the compliance program and day to day operations of the business. In his role he was a member of the cyber security team; maintained and traded the accounts attached to models of the managed account platform; supervised the new account opening process; performed daily trade monitoring, monthly and quarterly financial reports; was a vendor liaison helping to train the FAs and RRs in the use of the firm’s different online tools and platforms; helped with onboarding new employees and performing branch office inspections.
Tim received his Bachelor of Arts degree in Political Science and MBA from Alfred University. Tim holds Series 7 and 24 securities licenses.