Compliance Risk Concepts (CRC)
Patrick Spiroff is a seasoned compliance professional with extensive experience in the financial sector, currently serving as an Independent Contractor at Compliance Risk Concepts since September 2023 and a Freelance Regulatory Consultant at PGS Consultant LLC since March 2023. Spiroff has held significant roles such as Chief Compliance Officer for Futures Division at Wedbush Securities and Chief Compliance Officer at notable firms including DV Trading LLC, C&H Option Trading Inc., and Chopper Trading, LLC. With a foundational background in compliance risk management, Spiroff has successfully established and enhanced supervisory compliance systems across various organizations, ensuring adherence to regulations and facilitating operational transitions to modern trading practices. Spiroff holds a Bachelor of Business Studies from Grand Valley State University.
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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