Mark has over 30 years of expertise in senior regulatory, compliance roles in the financial services industry. He brings significant experience in, investment advisor, broker-dealer, capital markets, and international regulatory compliance matters. Mark is also the principal owner of MP Compliance Consulting LLC. MP Compliance Consulting specializes in executing New Membership Applications (NMA), Continuing Membership Application (CMA) and Materiality Consultations for its clients. In addition, MP Compliance Consulting has developed a successfully Outsourced Chief Compliance (OCCO) Division that supports Broker Dealers needs of managing their regulatory requirements. This includes providing advice on broker-dealer and investment advisor compliance, supervisory, and registration issues as well as drafting policies and procedures as well as the development and implementation of compliance programs particularly at new and/or smaller Broker Dealers.  

Previously, Mark was employed  as a Chief Compliance Officer and Senior Compliance for many of the large NY Firms, Stone X, Donaldson Lufkin & Jenrette, Merrill Lynch, RBC Capital Markets and ABN AMRO, Marks regulatory expertise covers all capital market products from Equities, Fixed Income (Munis, Corps and Gov’t), Money Market and other Mutual Funds, Derivatives as well as Investment Banking, Research, Clearing, Stock Loan, and Trade Reporting.