DFP Partners
Ross Marlin has extensive experience in compliance and legal roles within the financial industry. Currently serving as Director and Chief Compliance Officer at DFP Partners since April 2018, Ross assists broker-dealer clients in developing and maintaining compliance programs and updating procedural manuals. Prior experience includes a position as Principal Examiner at the Financial Industry Regulatory Authority from July 2012 to March 2018, where Ross evaluated membership applications and provided training and supervision to junior examiners. Additional roles include Compliance Account Manager at Blue Sky MLS, Inc., Stock and Commodities Trader, and Associate Attorney at Sedgwick, Detert, Moran & Arnold, demonstrating a diverse background in compliance consulting, trading, and legal practice. Ross holds a Juris Doctor degree from Rutgers Law School and a Bachelor of Arts in Economics from New York University.
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DFP Partners
For over 40 years, DFP Partners has been a committed ally to Broker-Dealers, Registered Investment Advisers, and other financial services firms looking for accounting and compliance services. During that time, we’ve built a team of dynamic accountants and consultants who bring their exceptional energy and imagination to each of our client’s challenges. We a pledge to always serve the best interests of our clients above anything else. At DFP Partners, we know our clients are entrepreneurs with little time to wrestle with the intricacies of securities regulation. That’s why we’ve built our business around managing your regulatory burdens as if they are our own — freeing you to focus on what you do best. Our offerings include, compliance consulting, registration services, accounting and tax support, and outsourced principal roles such as, Financial and Operations Principal (FinOp), Chief Compliance Officer (CCO), Chief Financial Officer (CFO) and Principal Operations Officer (POO). Additionally, we provide independent anti-money laundering testing, cybersecurity procedures and training, and branch inspection programs. We can also manage your new or continuing membership applications.