Marie Katz is a seasoned professional in regulatory compliance and financial operations with extensive experience spanning two decades. Currently, Katz serves as a Senior Regulatory Compliance and Financial Operations Professional at Compliance Risk Concepts since July 2023, while also fulfilling the role of FinOp at Nuorion Capital since January 2022. Previous positions include Chief Compliance Officer/FinOp at Global Oak Capital Markets and Chief Compliance Officer at AIG Global Capital Markets Securities. Katz has held significant roles at prominent financial institutions, such as Senior Vice President at Bank of America, where responsibilities included supervising audit teams and developing comprehensive audit plans. Academic credentials include an MBA in Finance from Fordham Gabelli School of Business and a BA in Political Science from Binghamton University.
This person is not in the org chart
Compliance Risk Concepts (CRC)
To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses being supported. CRC is staffed with a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals. We offer compliance consulting services in the following industries: Financial Services Anti-Corruption & Ethics Technology Industry Compliance Enterprise Compliance Risk Management Research Supervisory Analyst Expert Witness Service Financial Operational Principal Services With headquarters in New York, NY, and offices in Chicago, IL, and Westport, CT, CRC is your full-service Compliance Risk Management support partner. Please feel free to contact us with any questions related to the services and solutions described and we would be happy to schedule a call / meeting to further determine your individualized needs and requirements. CRC specializes in executing and overseeing the following: New Member Applications | Continuing Member Applications | Annual CEO Certifications | Independent AML Reviews | Conflict of Interest Reviews | Expert Witness Testimony | 15c3-5 Certifications | MCDC Oversight | Trading Surveillance | Best Execution Analysis | Swap Dealer BCP Independent Reviews | Investment Advisor Gap Analysis | Industry Surveys/Studies | Public Speaking Engagements | Written Supervisory Reviews | Regulatory Relations | Examinations | Dodd-Frank | Volcker Rule | Broker Dealer Compliance | Sales Practice | Bank Compliance | System Implementations | Equity and Fixed Income Markets | Research | BSA / AML | Regulatory Reporting