Brian Moran

Mr. Moran has a very diversified financial services audit, financial/operational reporting, compliance, and risk background with over 35 years of experience. Brian graduated from Fordham University with a BS in Accounting. He is a graduate of the University of Pennsylvania-Wharton School-FINRA Certified Regulatory and Compliance Professional Program (CRCP) and carries the CRCP Designation. His career includes roles at the US Securities & Exchange Commission-Division of Investment Management and OCIE in Washington, DC, the New York Stock Exchange Surveillance Division as a broker/dealer examiner, and the US Commodity Futures Trading Commission as an Investigator based in Washington, DC. He examined focus reports with emphasis on 15c3-1 and 15c3-3 compliance and underlying books and records. Brian complimented his training in the broker/dealer financial and operational audits and consulting engagements with Deloitte & Touche, LLC.