Sam Fleischman is a seasoned regulatory compliance professional with extensive experience in the financial services industry. Currently serving as a Senior Regulatory Compliance Professional at Compliance Risk Concepts since March 2020, Fleischman specializes in Control Room and Information Barriers Compliance for Investment Banking. Previous roles include Director and Head of Americas Control Room at Credit Suisse, and Executive Director at UBS Investment Bank, where Fleischman led global compliance efforts. Additional experience includes positions at Donaldson, Lufkin & Jenrette, Citibank, NatWest, Bankers Trust, Drexel Burnham Lambert, and Shearson Lehman. Fleischman holds a B.S. in Marketing/Advertising from Indiana University - Kelley School of Business.
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