Vin is an accomplished compliance and operational risk management professional with over 30 years of regulatory and risk management experience. Vin's primary career focus has been helping to ensure that financial services firms are following the rules and regulations applicable to the business that they conduct. Vin developed, implemented, and executed WSPs for many firms. He has also developed, implemented, and executed testing plans to ensure that organizations have created and employed effective controls to mitigate compliance risk for Broker Dealers, Registered Investment Advisers, and Banks.
He has assessed and validated corrective actions for issues identified internally as well as issues identified by various regulatory bodies. He has conducted procedure and process analysis, risk and control identification, and control evaluation by testing their design and operating effectiveness. Vin has also served as the Chief Compliance Officer for Broker-Dealers and Registered Investment Advisors during his career.
Vin graduated with a BS in Business Management and Economics from St. John’s University, also is a Certified Compliance and Regulatory Professional (CCRP) from Pace University and holds his Series 4, 7, 8, 14, 24, 63, 79, 99 securities licenses.
