David McClarin is a Capital Markets Business Unit Compliance Officer and Senior Vice President with extensive expertise in regulatory compliance, risk assessment, and program management. They have a comprehensive knowledge of FINRA, SEC, MSRB, NFA, and Federal Reserve regulations, along with a Bachelor of Science degree in Business & Management, a FINRA Series 7 license, and certification as an ABA Certified Regulatory Compliance Manager. David has held significant positions at FINRA, Regions Bank, and Morgan Keegan & Co., Inc., where they demonstrated strong leadership and made notable contributions to compliance programs and regulatory assessment. They are recognized for reliability, detail orientation, and meeting stringent deadlines.
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