Timothy Gibson

Senior Compliance Professional

Biography

Tim is a seasoned Compliance Professional with over 20 years of compliance and regulatory expertise, encompassing broker/dealer, credit rating agency, and banking compliance.  He has a strong knowledge of core and line-of-business compliance, utilizing sound judgment in interpreting corporate policies and industry laws and regulations, including NASD, NYSE, MSRB, OCC and SEC.  He has extensive experience performing both regulatory and compliance examinations and process testing, and identifying and mitigating compliance risks, as well as equity-linked products advisory services and surveillance.
Tim is a seasoned Compliance Professional with over 20 years of compliance and regulatory expertise, encompassing broker/dealer, credit rating agency, and banking compliance. He has a strong knowledge of core and line-of-business compliance, utilizing sound judgment in interpreting corporate policies and industry laws and regulations, including NASD, NYSE, MSRB, OCC and SEC. He has extensive experience performing both regulatory and compliance examinations and process testing, and identifying and mitigating compliance risks, as well as equity-linked products advisory services and surveillance. Tim has worked with CRC for over 2 years, performing reviews of all aspects of broker-dealer compliance including (but not limited to) supervisory controls testing, written supervisory procedures, employee securities accounts, ATS market access risk management, business continuity procedures, employee e-communications surveillance, trading surveillance, as well as continuing and new member applications.

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