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J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024
Read MoreKamran Fotouhi has twenty-plus years of experience in the financial services industry with a focus on compliance and supervisory-related matters. He has expertise working with both regulators and financial services firms including traditional top-tier wire house firms, large national full-service broker-dealers, investment management firms, governmental and self-regulatory organizations, insurance companies, banks, large correspondent clearing firms, and over 100 introducing broker-dealers. Kamran is proficient in the regulatory oversight of broker-dealer finances, operations, risk controls and sales practice conduct. He also has extensive experience with due diligence standards and broker-dealer examinations covering product onboarding including private placements and alternative investments.
Prior to joining J.S. Held, he also served as Managing Director at Capital Forensics, Inc. and as a Surveillance Director at FINRA, where he identified and addressed current and emerging risks in conjunction with monitoring the oversight of 265 broker-dealer firms’ compliance with industry rules and regulations. He has also served as Compliance Liaison for First Clearing LLC. (a Division Wells Fargo) where he was the direct point of contact for Chief Compliance Officers and Principals of over 100 introducing broker-dealers regarding compliance and risk matters.
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